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12 Jul 2010, 2:18 am
Similarly, the dismissal granted on the Merrill Lynch auction rate securities suit in March 2010 (about which refer here) did not depend on Merrill’s entry into a regulatory settlement, but was on the merits. [read post]
16 May 2016, 4:41 pm
In a closely-watched case, the U.S. [read post]
20 Jul 2017, 11:48 pm
Among others, the class action targeted Merrill Lynch, Lehman Brothers and Goldman Sachs (yeah, those guys) for keeping the gap between buying and selling prices of stocks artificially wide to promote additional investments between 1989 and 1994. [read post]
17 Mar 2010, 11:39 am
Douglas Preston is a Senior Vice President and Compliance Executive at Bank of America Merrill Lynch (BAML), as well as Chief Compliance Officer for Merrill Lynch Professional Clearing Corporation, the firm’s prime brokerage arm. [read post]
29 Mar 2010, 2:49 am
(See page 16 of the Bank of America/Merrill Lynch report which contains statistics on venture capital investments in cleantech: http://ww.nrel.gov/analysis/seminar/pdfs/2009/ea_seminar_nov_12_pres.pdf). [read post]
1 May 2009, 5:00 am
Six of the eight directors are 60 or older (the only exceptions are McClendon at 49 and Merrill A. [read post]
2 Jul 2010, 12:00 am
MERRILL This is an interlocutory appeal from an order of the Superior Court (Nadeau, J.) granting defendant Steven Merrill's request to find him not chargeable with a probation violation. [read post]
13 Jun 2012, 1:20 am
Senior executives at Bear Stearns, Lehman Brothers and Merrill Lynch “earned” similarly large pay packages in the years before those firms collapsed. [read post]
21 Apr 2008, 9:05 pm
Next up as targets in the ever-growing wave of subprime-related class action lawsuits are closed-end funds that issued auction preferred securities. [read post]
13 Jun 2012, 1:20 am
Senior executives at Bear Stearns, Lehman Brothers and Merrill Lynch “earned” similarly large pay packages in the years before those firms collapsed. [read post]
19 Apr 2010, 2:26 am
Indeed, one claimant that has a case pending against Merrill Lynch based on a subprime-backed security has alleged (refer here) that Merrill failed to disclose that it had a relationship with another client that was betting against the investment, similar to what happened at Goldman Sachs. [read post]
3 Dec 2021, 1:29 pm
Previously, he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Arlington, TX, Banc Of America Investment Services, Inc. [read post]
30 Oct 2018, 7:02 am
FIMSAC member Sonali Theisen of Bank of America Merrill Lynch asked how the group would track active authorized participants, who would provide the information, and whether it would be made available publicly and with what frequency. [read post]
22 Feb 2014, 5:02 pm
By Merrill BentAnderson v. [read post]
9 Jun 2014, 5:42 am
., 2014 VT 17By Merrill Bent This case involves a now nearly-four-year-old child known as L.M. [read post]
8 Nov 2013, 8:57 am
Merrill Lynch, 2008 WL 3875417 (App. [read post]
5 Sep 2013, 11:43 pm
By Merrill BentState v. [read post]
6 Apr 2018, 6:29 am
Lynch said that in 1985, the Division received an anonymous letter from an employee at Merrill Lynch about insider trading. [read post]
30 May 2014, 9:30 pm
It shouldn't be, but it is; just about every other account I've read of those dark days begin with "Lehman Week," when the eponymous investment bank collapsed into bankruptcy and when AIG and the GSEs and Merrill Lynch all passed through near-death moments. [read post]
23 Jun 2013, 11:28 pm
By Merrill BentFelis v. [read post]
