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3 May 2020, 10:03 am
Previous employment included Stanford Group Company from January to March 2009 and Merrill Lynch, Pierce, Fenner & Smith Inc. from March 2000 to January 2009. [read post]
17 Jul 2007, 11:46 am
Merrill Lynch, Pierce, Fenner & Smith, 835 F.2d 1031, 1033 (3d Cir. 1987). [read post]
1 Jun 2011, 5:00 am
Noski has served on the boards of Merrill Lynch & Co., Air Products and Chemicals, Inc., Automatic Data Processing, Inc., Morgan Stanley, and Northrop Grumman Corporation; Mr. [read post]
26 Sep 2011, 11:17 am
Moreover, it cites cases as far back as the 1800s, including Merrill v. [read post]
19 Oct 2009, 4:48 am
Mailed: September-October Issue of The Corporate Counsel The September-October issue of The Corporate Counsel includes pieces on: - More Meltdown Fallout--Going Concern and Other Out-of-the-Ordinary Audit Reports in SEC Filings - Omitting Schedules from a Filed Merger Agreement--The Merrill Lynch Bonuses - Filing an Acquired Company's Post- §15(d) Suspension 10-K--EDGAR Technicalities - Discussion at ABA of Risdall's Reg D Integration Holding - A Few Thoughts… [read post]
26 Mar 2010, 12:09 pm
xkcd breaks it down: I think the problem of content owner-defined rights may be connected to the numerus clausus principle as ably elucidated by Thomas Merrill and Henry Smith: we limit types of property more than we limit the customizability of contracts, so that people can more easily tell what they’re dealing with when they encounter a piece of property. [read post]
7 Dec 2006, 9:50 am
The Enron saga continues with the prosecutions of the "NatWest Three," the three British bankers from Greenwich National Westminster who were extradicted to the U.S. to stand trial on seven counts of wire fraud connected with a scheme to defraud NatWest and GNW (Greenwich NatWest, the subsidiary) and deprive them of money and their right to honest services by recommending to GNW that it sell its interest in Swap Sub for only $1 million, when the defendants knew GNW's interest was… [read post]
13 Jul 2009, 2:03 am
Frank Wolf (PDF 564 KB)Announces His Intention to Introduce a Resolution of Inquiry to Force the Justice Department to Provide Congress Information on the Closure of Guantanamo Bay 07/10/2009
Letter to Federal Financial Regulators From Senate Banking, Housing and Urban Affairs Chairman Chris Dodd and House Financial Services Chairman Barney Frank (PDF 24 KB)Letter Regarding Financing Difficulties Caused by Second Subordinate Mortgages07/10/2009
Letter to House Ways and Means… [read post]
27 Feb 2019, 7:40 am
The defendants in the case include JP Morgan (JPM), Bank of America (BAC), Citigroup (C), Barclays Bank (BARC), Deutsche Bank (DB), Credit Suisse (CS), UBS (UBS), Merrill Lynch, BNP Paribas Securities Corp., FTN Financial Securities, Goldman Sachs (GS), and First Tennessee Bank. [read post]
28 Apr 2022, 8:28 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Maria Acevedo Merrill Lynch, Pierce, Fenner & Smith Incorporated Alicia Chester BBVA Securities Inc. [read post]
10 Dec 2009, 1:36 am
Even if the out-sized Merrill Lynch settlements are disregarded, the other settlements still represent some very significant numbers. [read post]
19 Jun 2007, 9:07 am
Merrill Foster d/b/a Friendly Foster's Service and Sunoco (NFP) , a 7-page opinion dealing with the statute of limitations for bringing underground storage tank claims, Judge Kirsch writes:The Pflanzes argue that the applicable ten-year statute of limitations4 did not begin to run until either the discovery of contamination or the payment of remediation, and according to the amended complaint they did not discover any environmental issues on the property until September 2001. [read post]
25 Jun 2009, 2:33 am
All this we are told because we can't offend Merrill Corporation. [read post]
21 Mar 2011, 12:40 pm
The lawsuit involves the first project to obtain LEED Platinum certification, the Chesapeake Bay Foundation's ("Foundation") Philip Merrill Environmental Center. [read post]
19 Aug 2022, 7:33 am
Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Eddy Chou Ameriprise Financial Services, LLC Wells Fargo Clearing Services, LLC Kara Gagnon Global Atlanticv Distributors, LLC MetLife Investors Distribution Company Johana Jimenez Igor Kislitsa PFS Investments Inc. [read post]
18 Sep 2011, 4:29 pm
The deregulation of the banking industry, which had begun under President Carter and been completed during Clinton’s second term, coupled with extraordinarily lax regulation of the nonbank banks (such as Goldman Sachs, Merrill Lynch, and Lehman Brothers) by the Securities and Exchange Commission (which had the principal regulatory authority over the nonbank banks) under the last chairman appointed by Bush, lax regulation of insurance companies (such as AIG) by state insurance… [read post]
29 Mar 2007, 5:51 am
Relying on Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
31 Mar 2012, 8:17 pm
Kristopher William Bush, with Merrill Lynch in La Jolla, California, was fined $10,000 and suspended from association with any FINRA member in any capacity for 20 business days in relation to a finding that he conducted impermissible communications with clients. [read post]
16 Jun 2020, 7:14 am
Liberty Tree Advisors, LLC Rachael Konz Merrill Lynch, Pierce, Fenner & Smith Incorporated Morgan Stanley Jonathan Lake Wells Fargo Clearing Services, LLC Morgan Stanley Douglas Leone Salomon Whitney Financial Newport Coast Securities, Inc. [read post]
31 Jan 2011, 9:13 pm
Initially laid out in the seminal Bobbs-Merril Co. v. [read post]
