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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]
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]
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]
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]
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]