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2 Apr 2007, 8:38 am
In another blow for the SEC, and a huge potential problem for fee based brokers, the U.S. [read post]
1 Apr 2007, 3:50 am
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]
29 Mar 2007, 10:48 am
The so-called ‘squawk box' trial going on in Brooklyn federal court was postponed after one of the seven defendants, former Merrill Lynch stockbroker Timothy O'Connell, was busted on separate state charges in connection with a $30 million gambling ring in Queens. [read post]
29 Mar 2007, 5:51 am
Relying on Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
28 Mar 2007, 4:49 pm
Court of Appeals for the Fifth Circuit decided that cases in Houston against Merrill Lynch and other investment banking firms could not go forward as class actions, the door was left open for victims of stock fraud to file their own claims in court or arbitration against these investment firms. [read post]
28 Mar 2007, 4:49 pm
Court of Appeals for the Fifth Circuit decided that cases in Houston against Merrill Lynch and other investment banking firms could not go forward as class actions, the door was left open for victims of Enron stock fraud to file their own claims in court or arbitration against these investment firms. [read post]
27 Mar 2007, 2:01 pm
Last year, he was part of the Skadden team that successfully argued Merrill Lynch v. [read post]
27 Mar 2007, 11:03 am
The women-only events are proliferating, says Hymowitz, who cites companies such as Ernst & Young, Merrill Lynch & Co. and General Electric Co. as offering everything from spa retreats to cooking demos. [read post]
27 Mar 2007, 7:35 am
NYSER Executive Vice President of Enforcement Susan Merrill says that blind reliance on customer representations that a sale is long when securities are being sold is not appropriate if a firm sees evidence of short selling. [read post]
26 Mar 2007, 8:00 pm
Friday's mail brought Thomas Merrill and Henry E Smith's exciting new property casebook, Property: Principles and Policies, which Foundation has just published. [read post]
24 Mar 2007, 12:24 am
Brokerage house Merrill Lynch this morning issued a report predicting that the media companies eventually will distribute on the Google-owned site. [read post]
23 Mar 2007, 11:35 am
Merrill, Richard C. [read post]
22 Mar 2007, 5:08 am
As the Circuit Court admitted, the facts of this case are “difficult to detail” so we simply quote the Court’s broad summary: “Plaintiffs allege that defendants Credit Suisse First Boston (“Credit Suisse”), Merrill Lynch & Company, Inc. [read post]
20 Mar 2007, 8:53 pm
In the wake of the Fifth Circuit ruling, the remaining class claims against Credit Suisse, Barclays Bank and Merrill Lynch were put on hold Tuesday by the judge, Melinda Harmon. [read post]
20 Mar 2007, 1:39 pm
However, today's decision does not necessarily end claims against Merrill Lynch and the other financial firms for their involvement in Enron's fiancial woes. [read post]
20 Mar 2007, 6:14 am
US District Judge Melinda Harmon [Houston Chronicle profile] certified the class [opinion and order, PDF] in June 2006, but defendants Merrill Lynch and Credit Suisse Group [read post]
19 Mar 2007, 6:06 pm
Peter Lattman is reporting that the Fifth Circuit has struck down the class certification seeking to hold bystander banks liable in the Enron collapse (Feb. 9 and links therein). [read post]
18 Mar 2007, 12:08 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. 06-7067 (D.C. [read post]
17 Mar 2007, 6:22 am
Merrill, Richard C. [read post]
15 Mar 2007, 10:46 am
When nearly $ 2 Million was lost in more than 40 accounts at brokerage firms including Charles Schwab, E*Trade, Fidelity, Merrill Lynch, Scottrade, TD Ameritrade and Vanguard, the Securities and Exchange Commission came quickly to their rescue! [read post]
