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6 Jun 2012, 5:00 am
In re Merrill Lynch Auction Rate Securities Litigation arose out of an action by an investor, Louisiana Pacific Corporation (“plaintiff”) filed suit against underwriters Merrill Lynch & Co. and Merrill Lynch, Pierce, Fenner and Smith Inc. [read post]
26 May 2012, 10:54 pm
First Apple REIT case goes against Lerner, Investment News, May 23, 2012 FINRA Charges David Lerner & Associates With Soliciting Investors to Purchase REITs Without Fully Investigating Suitability; Lerner Marketed REITs on its Website With Misleading Returns, FINRA, May 31, 2011 More Blog Posts: David Lerner & Associates Ignored Suitability of REITs When Recommending to Investors, Claims FINRA, Stockbroker Fraud Blog, June 8, 2011 REIT Retail Properties of America’s $8 Public… [read post]
25 May 2012, 11:08 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
25 May 2012, 8:42 am
Merrill Lynch Pierce Fenner & Smith Inc., Respondent. [read post]
16 May 2012, 6:28 pm
In April, a former registered representative (a licensed attorney) at Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill" or "ML") entered into an AWC with FINRA consenting to a 30 day suspension. [read post]
16 May 2012, 6:28 pm
In April, a former registered representative (a licensed attorney) at Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill" or "ML") entered into an AWC with FINRA consenting to a 30 day suspension. [read post]
10 May 2012, 8:15 pm
Our securities fraud lawsuit against Merrill Lynch, Pierce, Fenner, & Smith involve allegations of overconcentration against David Zeng. [read post]
1 May 2012, 5:04 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., 672 F.3d 482 (7th Cir. 2012), which we analyzed in several earlier posts. [read post]
10 Apr 2012, 6:55 am
Merrill, Lynch, Pierce, Fenner & Smith, 2012 WL 592745 (7th Cir. [read post]
5 Apr 2012, 1:49 pm
” Merrill Lynch Loses $10 Million Compensation Ruling, The Wall Street Journal, April 4, 2012 Merrill Lynch Savaged by FINRA Arbitrators in Historic Employee Dispute, Forbes, April 4, 2012 More Blog Posts: Securities Claims Accusing Merrill Lynch of Concealing Its Auction-Rate Securities Practices Are Dismissed by Appeals Court, Stockbroker Fraud Blog, November 30, 2011 Merrill Lynch Faces $1M FINRA Fine Over… [read post]
5 Apr 2012, 6:53 am
A Boca Raton, Florida Financial Industry Regulatory Authority ("FINRA") Arbitration Panel has rendered a large award in favor of two former Merrill Lynch, Pierce, Fenner & Smith ("Merrill") brokers. [read post]
4 Apr 2012, 2:37 pm
Merrill Lynch, Pierce, Fenner & Smith Inc. in which George McReynolds is suing the defendants on behalf of himself and approximately 700 current and former employees of Merrill Lynch (a branch of Bank of America) for discrimination which led to them getting paid less and having fewer opportunities for advancement than their white co-workers. [read post]
2 Apr 2012, 10:00 pm
Rasnick FINRA recently announced that it fined Merrill Lynch, Pierce, Fenner & Smith (“Merrill”) one million dollars for failing to arbitrate claims with employees. [read post]
30 Mar 2012, 9:36 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. 11-3639 (7th Cir. [read post]
30 Mar 2012, 4:30 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. 10-1000-GPM, 2010 WL 5463243 (S.D. [read post]
Texas Securities Fraud: State Law Class Action in R. Allen Stanford’s Ponzi Scam Not Barred by SLUSA
28 Mar 2012, 5:01 pm
However, In Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
23 Mar 2012, 11:58 am
Merrill Lynch, Pierce, Fenner & Smith, 2012 U.S. [read post]
Seventh Circuit Approves Both “Untimely” Interlocutory Appeal and Issue-Specific Class Certification
14 Mar 2012, 3:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. 11-3639 (7th Cir. 2012), presents a careful analysis of two recurring issues: first, whether the time limits for an interlocutory appeal of a class action order is statutory or jurisdiction on the one hand or something closer to discretionary on the other; and, second, what effect the Supreme Court’s decision in Wal-Mart Stores v. [read post]
10 Mar 2012, 8:43 pm
Diverse Group of Securities Experts Make Recommendations For Future of Organization, SIPC, February 21, 2012 Madoff Investors Ask High Court to Review Affirmance of Trustee's ‘Net Equity’ Method, Bloomberg BNA, February 22, 2012 More Blog Posts: Appeals Court affirm SEC Finding that Broker Acted “Willfully” When Keeping IRS Lien Information from FINRA, Stockbroker Fraud Blog, February 24, 2012 FINRA Says Charles Schwab Corp. is Making Customers Waive Right to Pursue… [read post]
2 Mar 2012, 2:15 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. 11-3639 (7th Cir., Feb. 24, 2012), which was the subject of Wednesday’s CAB post, here’s a link to an insightful executive alert on the decision, which was authored by colleagues in Baker Hostler’s New York office, partner Deborah Renner and associate Matthew Moody. [read post]
