Search for: "Merril" Results 41 - 60 of 5,275
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31 Jan 2024, 12:08 pm by Geoff Schweller
The government alleges that Merrill’s misconduct occurred in 2010 when its subsidiary Merrill Tool and Machine, Inc. [read post]
31 Jan 2024, 6:22 am by Guest Author
 As Thomas Merrill has noted, “[a]dministrative rulemaking, at least in its modern guise, is subject to a much more unyielding set of procedural requirements” than legislative statute-making. [read post]
30 Jan 2024, 9:02 pm by renholding
I dissent from the Commission’s denial of a petition to amend Rule 202.5(e), our so-called gag rule.[1]  This de facto rule follows from the Commission’s enforcement of its policy, adopted in 1972, that it will not “permit a defendant or respondent to consent to a judgment or order that imposes a sanction while denying the allegations in the complaint or order for proceedings. [read post]
28 Jan 2024, 4:54 pm by Christopher J. Walker
Kip Viscusi (Vanderbilt), Dick Pierce (George Washington University), Thomas Merrill (American University), Kristin Hickman (University of Minnesota), and Mason Marks (University of New Hampshire Law/Petrie-Flom Center, Harvard). [read post]
26 Jan 2024, 8:27 am by The White Law Group
(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 by Eugene Volokh
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 by Conrad Dryland
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 by John Jenkins
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 by Amy Howe
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]
5 Jan 2024, 1:14 pm by Silver Law Group
  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 by Will Korn
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 by Mavrick Law Firm
District Court for the Southern District of Florida in Merrill Lynch, Pierce, Fenner & Smith v. [read post]
27 Dec 2023, 11:21 am by Silver Law Group
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 by Silver Law Group
  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 by Orin S. Kerr
., 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 by Mark Ashton
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]