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28 Mar 2011, 7:06 am
Engagement of Merrill Lynch, Pierce, Fenner & Smith Incorporated As further discussed above (see "--Background of the Merger"), the Company retained BofA Merrill Lynch as one of its financial advisors in connection with the merger. [read post]
8 Mar 2011, 3:56 pm
District Court for the Western District of Washington says that King County, Washington has pleaded sufficient facts to continue with its securities fraud lawsuit accusing Merrill Lynch, Merrill Lynch, Pierce, Fenner and Smith Inc. and Merrill Lynch Money Markets Inc. of facilitating its purchase of allegedly toxic mortgage-backed securities and violating the Washington State Securities Act. [read post]
25 Jan 2011, 1:52 pm
Merrill Lynch, Pierce, Fenner & Smith Inc. agreed to pay a $10 million fine to settle Securities and Exchange Commission charges that the company misused customer information and charged undisclosed trading fees. [read post]
25 Jan 2011, 12:31 pm
The SEC today charged Merrill Lynch, Pierce, Fenner & Smith Incorporated with misusing customer order information to place proprietary trades for the firm and for charging customers undisclosed trading fees. [read post]
24 Jan 2011, 6:45 am
20 Jan 2011, 11:00 am
The past year offered an interesting mix of positive and negative news as investors around the world eagerly anticipated signs of economic recovery and financial stabilization. [read post]
15 Jan 2011, 11:10 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. (1979). [read post]
3 Jan 2011, 6:30 am
In In re Merrill Lynch & Co., Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc., No. 09-0161, (Tex. [read post]
27 Dec 2010, 12:30 pm
Merrill Lynch, Pierce, Fenner & Smith Inc., 372 N.J. [read post]
22 Dec 2010, 10:52 am
Merrill Lynch Pierce Fenner & Smith Inc. [read post]
13 Dec 2010, 7:04 am
Court of Appeals for the Second Circuit affirmed a district court’s ruling denying the motion of plaintiffs-appellants (collectively “LSED”) to compel arbitration of a dispute with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
22 Jul 2010, 1:52 pm
Whitehill In In re Merrill Lynch & Co., Inc. and Merrill, Lynch, Pierce, Fenner; Smith Incorporated, __ S.W.3d __ (June 25, 2010 slip op.), the Texas Supreme Court conditionally granted mandamus relief in favor of Merrill Lynch, staying litigation against it by a non-signatory company when that company’s sister company that was a signatory to an arbitration agreement was also asserting identical claims that were… [read post]
7 Jul 2010, 5:00 am
In re Merrill Lynch & Co., Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc., No. 09-0161 (Tex. [read post]
25 Jun 2010, 8:39 am
Stay of litigation pending a related arbitration In re Merrill Lynch & Co., Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc., No. 09-0161 (per curiam) (docket and briefs) The Court framed this case as similar to a previous decision, In re Merrill Lynch Trust Company FSB, 235 S.W.3d 185 (Tex. 2007) (orig. proceeding). [read post]
18 Jun 2010, 10:26 am
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
15 Jun 2010, 7:16 pm
., what he remembers from the [confidential] information he developed”); Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
26 May 2010, 7:02 am
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
24 May 2010, 7:30 am
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
3 May 2010, 1:37 pm
.; quoting Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
19 Apr 2010, 4:29 pm
Merrill Lynch Pierce Fenner & Smith, Inc., 798 F.Supp. 1427, 1431 (D.Neb. 1992) (finding that the four notes at issue failed to satisfy the second Reves factor where there was nothing in the facts to support a finding that the they were part of or comprised any sort of commonly traded or offered instruments); see also Premier Microwave Corp. v. [read post]
