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24 Nov 2023, 12:47 pm
Merrill Lynch Pierce Fenner & Smith, Inc., 821 F.Supp. 59 (D.N.H. 1993) (holding that arbitrators’ refusal to apply the statute of limitations was not “manifest disregard” of the law).Of course, the parties’ contracts can explicitly make statutes of limitations applicable to their arbitrations. [read post]
21 Nov 2023, 7:15 am
On Monday, the United States Supreme Court denied inventor Jeffrey Killian’s petition for a rehearing in his case asking the Court to provide clear guidance on – or else throw out – the Alice/Mayo test for patent eligibility. [read post]
21 Nov 2023, 7:15 am
On Monday, the United States Supreme Court denied inventor Jeffrey Killian’s petition for a rehearing in his case asking the Court to provide clear guidance on – or else throw out – the Alice/Mayo test for patent eligibility. [read post]
20 Nov 2023, 5:30 am
Merrill v. [read post]
19 Nov 2023, 12:22 pm
—William Henry Merrill, founder of Underwriters Laboratories [read post]
15 Nov 2023, 9:03 pm
When Unsuitable Trading Leads To Investor Losses Our Unsuitable Trading Attorneys Are Speaking To Former Customers of Ex-Merrill Lynch Broker Robert Gerstein The Financial Industry Regulatory Authority (FINRA) has suspended a former longtime Merrill Lynch financial advisor for allegedly recommending that some customers short-term trade their mutual fund shares and certain complex financial products that were better suited for a longer-term trading strategy. [read post]
15 Nov 2023, 6:26 am
Merrill Lynch paid a $6 million penalty to settle the SEC charges. [read post]
14 Nov 2023, 9:01 pm
The Securities and Exchange Commission announced that it filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, including 501 original, or “stand-alone,” enforcement actions, an 8 percent increase over the prior fiscal year. [read post]
10 Nov 2023, 7:01 am
(CRD#:7059) of El Segundo, CA, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of New York, NY. [read post]
3 Nov 2023, 11:48 am
(CRD#:199), COLORADO SPRINGS, CO, B, 09/18/2015 – 01/21/2020, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), COLORADO SPRINGS, CO The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
27 Oct 2023, 9:30 pm
Mike Davis, Southeastern Oklahoma State University, is the 2023 recipient of the Maurice Merrill Golden Quill Award by the Oklahoma Bar Association for the article, “Skinner v. [read post]
27 Oct 2023, 8:54 pm
Here is the text of my tribute to Alan Charles Kors, Professor of History, Emeritus at the University of Pennsylvania, delivered at the 2023 Philip Merrill Award dinner of the American Council of Trustees and Alumni. -- Robert P. [read post]
26 Oct 2023, 8:35 am
Shawn O’Connell Morgan Stanley Merrill Lynch, Pierce ,Fenner & Smith Incorporated Steven Thompson Network 1 Financial Securities Inc. [read post]
25 Oct 2023, 12:49 pm
James Shelburne Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
25 Oct 2023, 12:36 pm
Merrill Richardson Goldman Sachs & Co. [read post]
23 Oct 2023, 9:01 pm
Merrill, Antitrust Rulemaking: The FTC’s Delegation Deficit, George Mason Univ., Antonin Scalia Law School, Sept. 19. 2022). [read post]
11 Oct 2023, 2:37 pm
Adam Fischer, Ella Merrill and Sierra Meggitt will share their experience obtaining funding to promote their future career interests. [read post]
9 Oct 2023, 3:31 pm
Bloomberg found out about FINRA secretly firing the Postell arbitrators, and it published an article opining that FINRA fired the Postell arbitrators because they “had the temerity to find in favor of a customer in a securities arbitration against Merrill Lynch. [read post]
9 Oct 2023, 1:21 pm
In today's public customer FINRA arbitration, we have a failed second-bite of the same wormy Merrill Lynch apple. [read post]
6 Oct 2023, 12:25 pm
by Dennis Crouch Today’s post introduces the new decision in Sisvel International S. [read post]
