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26 Jan 2024, 8:27 am
(CRD#:7059), EL PASO, TXB, 04/12/2005 – 08/08/2007, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), EL PASO, TX Failure to Supervise FINRA Rule 3110 specifically outlines the supervisory obligations of broker-dealers. [read post]
25 Jan 2024, 5:01 am
Merrill, The Chevron Doctrine: Its Rise and Fall, and the Future of the Administrative State 148–58 (Harv. [read post]
17 Jan 2024, 9:19 am
In the fourth episode of Between the Lines, Chair Fois, ACUS Council Member Fernando Laguarda, and Professors Tom Merrill and Kristin Hickman explored the current role and continued significance of the Chevron Doctrine in judicial review of agency action. [read post]
17 Jan 2024, 3:30 am
Thomas Merrill observes that overturning Chevron would be a recipe for judicial gridlock when it comes to resolving challenges to agency actions: “If every court of appeals were required to apply de novo review to every question of law that arises in a regulatory context, the courts of appeals would be overwhelmed. [read post]
16 Jan 2024, 12:30 pm
In an article published in 2014, law professor Thomas Merrill suggested that the Chevron decision was not regarded as a particularly consequential one when it was issued. [read post]
9 Jan 2024, 12:05 pm
I thought this item from Prof. [read post]
5 Jan 2024, 1:14 pm
Louis No NYLife Securities, LLC Shawn O’Connell Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Incorporated Chanda Park Transamerica Financial Advisors, Inc. [read post]
3 Jan 2024, 7:52 am
Chrys Dougherty Legal Services Award; the Judge Merrill Hartman Pro Bono Judge Award; the Pro Bono Award; the Pro Bono Coordinator Award; the W. [read post]
2 Jan 2024, 1:04 pm
Former Merrill Lynch Rep Stuck In FINRA Arbitration Expungement Turnstile (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
2 Jan 2024, 1:04 pm
After a 26-Year Regulatory Nap, FINRA Discovers Firm's WSPs Are Inadequate (BrokeAndBroker.com Blog) FINRA Bars Its Arbitration Forum To TDA Customer Citing Unspecified Risks Of Health And Safety (BrokeAndBroker.com Blog) Former Merrill Lynch Rep Stuck In FINRA Arbitration Expungement Turnstile (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
2 Jan 2024, 1:04 pm
In a recent case on appeal to the SEC, it turns out that FINRA had accepted a former Merrill Lynch registered representative's Arbitration Statement of Claim and charged him for said filing. [read post]
28 Dec 2023, 10:22 am
District Court for the Southern District of Florida in Merrill Lynch, Pierce, Fenner & Smith v. [read post]
27 Dec 2023, 11:21 am
Morgan Securities LLC Chase Investment Services Corp Merrill Richardson Goldman Sachs & Co, LLC William Blair & Company LLC Michael Solomon Maxim Group LLC HFP Capital Markets LLC Steven Thompson Network 1 Financial Securities Inc. [read post]
27 Dec 2023, 8:45 am
Merrill Lynch, Pierce, Fenner & Smith Incorporated Louis Pellegriti Spartan Capital Securities, LLC Worden Capital Management LLC Jorge Sarria Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Incorporated Daniel Snodgrass BCG Securities, Inc. [read post]
19 Dec 2023, 1:39 pm
., concurring] ["The law of property naturally enough influences our shared societal expectations of what places should be free from governmental incursions" (internal quotation marks and brackets omitted)]; French v Merrill, 15 F4th 116, 131 [1st Cir 2021] [Jardines "clearly established that an implicit social license sets the boundaries of what acts officers may engage in"], rehg en banc denied 24 F4th 93 [1st Cir 2022], cert denied 143 S Ct 301 [2022]). [read post]
18 Dec 2023, 6:17 pm
For example, Merrill Lynch’s NextGen 529 Plan is operated by the State of Maine and buried in the morass of disclosures is a warning that Maine may have some things to say about your NextGen Plan even if you and the children are living in Arizona. [read post]
13 Dec 2023, 1:49 pm
King voluntarily resigned from Merrill Lynch on 4/21/2023 after allegations of “unsuitable and unauthorized trading in certain clients’ accounts. [read post]
8 Dec 2023, 1:18 pm
It’s not baseless, but old agency hands—including, among others, former FTC General Counsel Alden Abbott; former FTC Commissioner and Acting Chair Maureen Ohlhausen (with Ben Rossen here); former FTC Commissioner Noah Phillips; and Gregory Werden, former chief counsel for economics at the DOJ Antitrust Division—have argued that there is no such authority, and noted administrative-law scholar Thomas Merrill agrees. [read post]
7 Dec 2023, 7:11 am
Additionally, the SEC charged Merrill Lynch with failing to file necessary Suspicious Activity Reports for a 10 year period from 2009 to 2019. [read post]
24 Nov 2023, 6:08 pm
From Matthew Wiener: On November 29, 2023, the Supreme Court will hear argument in Securities and Exchange Commission v. [read post]
