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27 Oct 2011, 5:27 pm
On Wednesday, Bank of America-Merrill Lynch economist Lu Ting said that due to recent dollar strength, the yuan has actually appreciated by 4.1% against a broader basket of currencies since the end of July... [read post]
31 Oct 2018, 11:57 am
Merrill Dowe Pharmaceuticals, 131 S.Ct. 2786 (1993) which required that any proposed expert testimony be supported by appropriate validation. [read post]
21 Jun 2019, 12:21 pm
With 26 years in the industry, He has also been a registered broker for Wachovia Securities, First Union Brokerage Services, Merrill Lynch, and Chatfield Dean & Co. [read post]
4 Aug 2023, 7:34 am
According to FINRA Disciplinary actions for July 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Michael Borning Pruco Securities, LLC Wells Fargo Clearing Services, LLC Conway Donaldson Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Incorporated Bridget Fernandez UBS Financial… [read post]
18 Sep 2009, 4:59 pm
" [Merrill Lynch, Pierce, Fenner & Smith, Inc. v. ]Dabit , 547 U.S. [71,] 87 [(2006)]. [read post]
14 Mar 2018, 6:02 am
See id. at 647–48; In re Merrill Lynch Trust Co., FSB, 235 S.W.3d 185, 190 n. 12 (Tex. 2007) (orig. proceeding) (holding that defenses that relate to the parties’ entire contract rather than the arbitration clause alone is a question for the arbitrators rather than the courts); see also Henry & Sons Construction Co., Inc. v. [read post]
2 Jan 2009, 5:30 pm
In August, Cuomo (Fordham, Albany Law) orchestrated a spate of settlements to have Merrill, Citi and UBS buy back more than $35 billion of illiquid auction-rate securities. [read post]
14 Jun 2010, 4:00 am
Merrill Lynch sees the cloud business reaching $160 billion by 2011 (which is perhaps a bit optimistic, given the recent market troubles caused by the European credit crisis), and Gartner predicts $150 billion by 2013. [read post]
27 Dec 2011, 9:27 am
Morvillo represented Merrill Lynch (then Blodget’s employer) back in 2002, when Eliot Spitzer, then New York’s Attorney General, had filed a legal complaint against Blodget and the company over alleged conflicts of interest at the firm’s research wing: In his complaint, Spitzer had presented some emails as evidence that my team and I had believed one thing privately and said another publicly–in other words, that we had defrauded investors by not telling them what we… [read post]
24 Nov 2023, 12:47 pm
Merrill Lynch Pierce Fenner & Smith, Inc., 821 F.Supp. 59 (D.N.H. 1993) (holding that arbitrators’ refusal to apply the statute of limitations was not “manifest disregard” of the law).Of course, the parties’ contracts can explicitly make statutes of limitations applicable to their arbitrations. [read post]
5 Jul 2022, 9:04 am
James Shelburne Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
29 Jun 2012, 8:12 am
Merrill Dow Pharmaceuticals, Inc. analysis of the plaintiff’s expert testimony. [read post]
11 Jun 2019, 9:29 am
From October 2011 until June 2014 Kinsman was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
3 Aug 2022, 8:20 am
(Updated) - July 13, 2022 I also recommend Tom Merrill's series of posts about the case. [read post]
26 Mar 2018, 3:00 am
The SEC doesn’t disclose information that might identify a whistleblower – but according to this Reuters article, the trio earned their “WhoWantstobeaMillionaire.gov” payday for their assistance in an enforcement action involving Merrill Lynch that resulted in a $415 million settlement. [read post]
2 Mar 2012, 7:58 am
We continue to face increased public and regulatory scrutiny resulting from the financial crisis and economic downturn as well as alleged irregularities in servicing, foreclosure, consumer collections, mortgage loan modifications and other practices, lending volumes, compensation practices, our acquisitions of Countrywide and Merrill Lynch and the suitability or reasonableness of recommending particular trading or investment strategies Over at Goldman, the scrutiny was mentioned in related… [read post]
10 Jan 2019, 8:47 am
According to Levine’s BrokerCheck record, he previously worked with Prudential Securities, Merrill Lynch, and UBS (UBS). [read post]
18 Jul 2007, 11:20 pm
Later, the head of the Task Force expressed an appallingly arrogant "end justifies the means" regarding the wrongful prosecution of Andersen and other Enron-related cases; Then, the Task Force ruthlessly ruined the careers of four respected former Merrill Lynch executives and sent them to prison for a year before the Fifth Circuit overturned that atrocity. [read post]
8 Nov 2022, 1:03 pm
Does this remind anyone of Bank of America's purchase of Merrill Lynch and Countrywide in 2008? [read post]
23 May 2012, 7:52 pm
Most of the corporate poobahs responsible for the demise of Bear Stearns, Merrill Lynch, Lehman Brothers, et al were male members in good standing of the Old Boys Club. [read post]
