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4 Jan 2021, 12:05 pm
Aaron Pierett Merrill Lynch, Pierce, Fenner & Smith Incorporated Wells Fargo Clearing Services, LLC Alexander Walker Fidelity Brokerage Services LLC For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
4 Jan 2021, 11:16 am
Alison Lynch and Michael L. [read post]
3 Jan 2021, 12:14 pm
Former Kentucky-Based Merrill Lynch Broker Gets Eight Years in Prison Christopher Lee Hibbard, a former stockbroker for Merrill Lynch and Pierce, Fenner & Smith is sentenced to eight years in prison. [read post]
3 Jan 2021, 7:46 am
Lynchings of Black voters and the Colfax massacre were just a couple of the egregious acts occurring in the South.In 1876, things were still messy, and the presidential election was extremely close. [read post]
31 Dec 2020, 3:00 pm
SEC Pursues Charges for Another Fraudulent Initial Coin Offering (ICO) SEC Files Charges Related to Three More Fraudulent Initial Coin Offerings (ICOs) Wealthy Investors Are Still Reeling from Yield Enhancement Strategy (YES) Losses In recent years, UBS, Merrill Lynch and other brokerage firms have earned substantial fees by selling yield enhancement strategies (YES) to their wealthy clients. [read post]
31 Dec 2020, 7:08 am
(Bank of America, Merrill Lynch, ESG Part II: A Deeper Dive). [read post]
30 Dec 2020, 7:19 am
Merrill Lynch settled the matter for $9,000 to avoid litigation. [read post]
29 Dec 2020, 7:40 am
The post Merrill Lynch Discharges Broker Forrest Jones After SEC Investigation appeared first on Securities Arbitration Lawyers Blog. [read post]
28 Dec 2020, 1:55 pm
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Frisco, TX, Morgan Stanley Smith Barney (CRD#:149777) and Morgan Stanley & Co. [read post]
28 Dec 2020, 12:46 pm
Sweeney and Magistrate Judge Debra McVicker Lynch in the Southern District and assigned Case 1:20-cv-02712-JRS-DML. [read post]
28 Dec 2020, 4:29 am
James Shoemaker, Robert Lynch, Joseph Hoffman, and William Sly, “Misidentification of propionic acid as ethylene glycol in a patient with methylmalonic acidemia,” Journal of Pediatrics 1992, 120:417-421. [read post]
24 Dec 2020, 9:32 am
23 Dec 2020, 1:13 pm
The case was assigned to District Judge Tanya Walton Pratt and Magistrate Judge Debra McVicker Lynch in the Southern District and assigned Case 4:20-cv-00212-TWP-DML. [read post]
23 Dec 2020, 12:14 pm
In this episode, hosts Olivia Lynch and Christian Curran are joined by colleague Eric Ransom to discuss issues surrounding emergency sole source procurements, and a recent stay override decision from the Court of Federal Claims concerning a Federal Emergency Management Agency sole source contract for COVID-19 tests. [read post]
22 Dec 2020, 9:30 pm
Reports of lynching, burning, or murdering of LGBTQ people have been documented for centuries. [read post]
22 Dec 2020, 1:36 pm
The case was assigned to Chief Judge Tanya Walton Pratt and Magistrate Debra McVicker Lynch in the Southern District and assigned Case 4:20-cv-00210-TWP-DML. [read post]
22 Dec 2020, 10:02 am
Since leaving Merrill Lynch, Mr. [read post]
22 Dec 2020, 7:55 am
.'” “And while McGuireWoods argued that Judge McVicker Lynch was wrong to determine that Hartford hadn’t consented to the firm representing adversaries, Judge Evans Barker called that reading of the contract ‘plainly wrong and legally untenable.'” “The judge was also unmoved by McGuireWoods’ reliance on a case in which a judge cautioned that ‘a finding of conflict is not automatically grounds for dismissal. [read post]
22 Dec 2020, 6:11 am
Merrill Lynch broker Hector J. [read post]
21 Dec 2020, 10:45 pm
En colaboración con Max Hernández, Pepi Patrón y Nicolás Lynch diseminamos el concepto de gobernabilidad democrática en el Perú durante el decenio de 1990, en momentos en que ese tema no era considerado importante por el gobierno. [read post]
