Search for: "Merrill, Lynch, Pierce, Fenner "
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7 Nov 2008, 6:45 am
For example, in Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
6 Nov 2008, 6:31 am
(Smith Barney), Merrill Lynch, Pierce Fenner & Smith Inc. and UBS Financial Services, Inc. entered into the Protocol for Broker Recruiting ("Protocol") in 2004. [read post]
1 Sep 2008, 3:52 pm
The Securities and Exchange Commission says it has reached a preliminary settlement agreement with Merrill Lynch, Pierce, Fenner & Smith to liquidate about $8.5 billion in auction-rate securities that are still held by the firm's institutional and retail investors. [read post]
25 Jul 2008, 7:17 pm
., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. [read post]
16 Jul 2008, 9:25 pm
., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. [read post]
24 Jun 2008, 12:36 am
In 2002, the New York State Attorney General's Office accused Merrill Lynch, Pierce, Fenner & Smith Inc., Merrill Lynch & Co. [read post]
20 May 2008, 2:54 pm
In 2007, investor Ronald Ventura had filed a securities fraud lawsuit against Merrill Lynch & Co., Merrill Lynch, Pierce, Fenner & Smith Inc., and Blodget. [read post]
14 May 2008, 3:40 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 259 F.3d 154, 166 (3d Cir.2001) ("A class certification decision requires a thorough examination of the factual and legal allegations. [read post]
8 Apr 2008, 12:05 pm
.; Citigroup Global Markets; Lehman Brothers; Merrill Lynch, Pierce, Fenner & Smith; Morgan Stanly & Co.; and RBC Dain Rauscher. [read post]
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
I. [read post]
29 Jan 2008, 6:00 am
(See Merrill Lynch, Pierce, Fenner & Smith Inc. v. [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]
14 Jan 2008, 6:18 pm
Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
31 Oct 2007, 5:31 am
Turning to whether the class action complaint was properly dismissed, the Ninth Circuit held that Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
21 Oct 2007, 11:50 am
The firms disciplined include: Merrill Lynch, Pierce, Fenner & Smith: Fined $100,000 for violating rule 123c about 480 times when it cancelled or submitted securities orders after the mandatory cutoff period. [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]
27 Aug 2007, 8:41 am
Merrill Lynch, Pierce, Fenner & Smith, 835 F.2d 1031, 1033 (3d Cir. 1987). [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]
6 Aug 2007, 4:03 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
