Search for: "MERRILL LYNCH, PIERCE, FENNER & SMITH, INC."
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1 Apr 2008, 9:14 am
Massachusetts Secretary of the Commonwealth William Galvin is subpoenaing Merrill Lynch, Pierce, Fenner, & Smith Inc., UBS Securities, and Bank of America Investments because it wants information about the companies' involvement in selling auction-rate market securities to retail investors. [read post]
27 Feb 2008, 10:00 am
The Facts and the Theory In the suit, Stoneridge Investment Partners, LLC ("petitioners"), alleged that Scientific-Atlanta, Inc., and Motorola, Inc. [read post]
29 Jan 2008, 6:00 am
(See Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
21 Jan 2008, 4:10 am
“The Plan hired Merrill Lynch, Pierce, Fenner & Smith, Inc., to advise the participants about appropriate investments; Merrill Lynch stressed the benefits of diversification. [read post]
14 Jan 2008, 6:18 pm
Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
31 Oct 2007, 5:31 am
Turning to whether the class action complaint was properly dismissed, the Ninth Circuit held that Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
21 Oct 2007, 11:50 am
The firms disciplined include: Merrill Lynch, Pierce, Fenner & Smith: Fined $100,000 for violating rule 123c about 480 times when it cancelled or submitted securities orders after the mandatory cutoff period. [read post]
1 Oct 2007, 5:45 am
The Supreme Court subsequently held that the district court erred in its conclusion that federal jurisdiction did not exist, see Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
5 Sep 2007, 10:55 am
See Merril, Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
26 Aug 2007, 10:42 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., 259 F.3d 154, 164 (3d Cir. 2001) (citing "inordinate or hydraulic pressure on defendants to settle, avoiding the risk, however small, of potentially ruinous liability" as factor favoring interlocutory review). [read post]
6 Aug 2007, 4:03 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
26 Jul 2007, 11:18 am
We can start with Medtronic, Inc. v. [read post]
24 Jul 2007, 3:06 am
The lenders argued that their claims were based on the developer's misrepresentations relating to their loans, not to SLUSA "covered securities," but the court says the state suit is barred under Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
23 Jul 2007, 8:57 am
Merrill Lynch, Pierce, Fenner & Smith, 835 F.2d 1031, 1033 (3d Cir. 1987). [read post]
17 Jul 2007, 11:46 am
Merrill Lynch, Pierce, Fenner & Smith, 835 F.2d 1031, 1033 (3d Cir. 1987). [read post]
16 Jul 2007, 9:25 am
Merrill Lynch, Pierce, Fenner & Smith, 835 F.2d 1031, 1033 (3d Cir. 1987)). [read post]
13 Jul 2007, 10:28 am
Applying the Supreme Court's "expansive view of SLUSA's preemptive scope" in Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
26 Jun 2007, 4:58 pm
Merrill Lynch Pierce Fenner & Smith Inc.. [read post]
18 Jun 2007, 11:49 pm
Inc.; Goldman, Sachs & Co.; The Goldman Sachs Group Inc.; Janus Capital Management LLC; Lehman Brothers Inc.; Merrill Lynch, Pierce, Fenner & Smith Inc.; Morgan Stanley & Co. [read post]
11 Apr 2007, 11:00 am
Defendants in the petition include Credit Suisse First Boston LLC, Pershing LLC, Merrill Lynch Pierce Fenner & Smith Inc., Credit Suisse First Boston (USA) Inc., Merrill Lynch & Co., Barclays Capital Inc., Barclays Bank PLC, and Barclays PLC. [read post]
