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20 Apr 2017, 10:17 am
Distilled even further, the dispute boils down to enough just not being enough.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2016, former Merrill Lynch employee Claimant Maile sought $1 in compensatory damages and an expungement of a “customer dispute occurrence” from his Central Registration Depository records (“CRD”). [read post]
20 Apr 2017, 9:03 am
Jeffrey Kluge, a 25-year veteran of Merrill Lynch in St. [read post]
13 Apr 2017, 10:43 am
Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card You hear about the FINRA regulatory settlement involving the employee who submitted personal charges for reimbursement except he claimed that some mystery man had misused his credit card but then sought reimbursement anyway but later paid all the charges including a first-class-flight ticket even though he testified that he was forced to buy that first-class ticket because a supervisor kept him late and… [read post]
13 Apr 2017, 6:32 am
You hear about the FINRA regulatory settlement involving the employee who submitted personal charges for reimbursement except he claimed that some mystery man had misused his credit card but then sought reimbursement anyway but later paid all the charges including a first-class-flight ticket even though he testified that he was forced to buy that first-class ticket because a supervisor kept him late and he missed an earlier flight? [read post]
5 Apr 2017, 1:03 pm
We all know that person. [read post]
5 Apr 2017, 12:22 pm
By way of spoiler alert, today's BrokeAndBroker.com Blog features the FINRA regulatory settlement of a former Merrill Lynch rep who allegedly took home confidential customer information involving 100 accounts, and, after leaving the firm and the industry, tried to sell the info for $10,000. [read post]
4 Apr 2017, 2:37 pm
Merrill Lynch has plans to restructure the brokerage leadership, emphasize more on productivity and training, and reduce the number of divisions. [read post]
4 Apr 2017, 10:45 am
., Gina Merrill, Brendan Sweeney, and Mark W. [read post]
30 Mar 2017, 9:31 am
Tommy Merrill, Rep. [read post]
30 Mar 2017, 6:07 am
What are Structured Notes? [read post]
29 Mar 2017, 10:50 am
The post Changes To Juvenile Justice System May Make Prosecution Easier appeared first on Merrill Law Firm. [read post]
27 Mar 2017, 4:29 pm
Ct. 1351, 1363 (2013). [3] Id. at 1363 (citing Bobbs-Merrill Co. v. [read post]
16 Mar 2017, 7:22 pm
It also identifies the top plaintiffs, defendants their law firms and outcomes including damages.All cases are coded into one of the five categories of litigation: Securities Fraud (§ 10(b) / 10b-5), CFTC Enforcement, SEC Enforcement Contested, SEC Enforcement Settled Complaint and Shareholder Derivative Suits.SEC Enforcements With a Settled Complaint Key findings on 2006- 2016 Trends:There was a 23% increase in securities litigation in 2016 over 2015.Citigroup, Merrill Lynch… [read post]
14 Mar 2017, 10:50 am
Merrill F. [read post]
13 Mar 2017, 3:55 pm
According to a Merrill Lynch and Age Wave report, 81 percent of Americans are clueless when it comes to the cost of retirement. [read post]
9 Mar 2017, 6:00 am
When confronted by Merrill Lynch, Adam C. [read post]
3 Mar 2017, 2:00 am
Merrill Dow Pharmaceuticals Inc., 509 U.S. 579 (1993). [read post]
2 Mar 2017, 9:34 am
Merrill Richardson, the New York Court of Appeals has held that there are limits to the admissibility of expert witness opinion testimony. [read post]
22 Feb 2017, 8:42 am
If you're gonna sue a big firm like Merrill Lynch, ya gotta think big. [read post]
22 Feb 2017, 2:39 am
Back in July 2014, Dallas County Commissioner John Wiley Price was arrested by federal authorities on corruption charges. [read post]
