Search for: "Michael Merrill"
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30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin, Phillip JP… [read post]
18 Sep 2008, 11:00 am
Business development experts Michael G. [read post]
10 Dec 2009, 1:36 am
Even if the out-sized Merrill Lynch settlements are disregarded, the other settlements still represent some very significant numbers. [read post]
14 Aug 2012, 12:36 pm
Merrill Lynch & Co., 671 F.3d 120, 127 (2d Cir. 2011) (implementing a lead plaintiff in a securities related multidistrict litigation case); In re Aqua Dots Prods. [read post]
11 Aug 2015, 5:59 am
Karasik, Carrio, Karasik & Associates, LLP, and Michael J. [read post]
2 Sep 2015, 5:30 pm
– Nashville lawyer Kevin Hartley of Trust Tree on their blog, The Root Retransmission Consent Reform—The “Must Haves” for Cable and Satellite Companies – Washington, DC attorney Dana Frix of Chadbourne & Parke on the firm’s blog, TMT Perspectives Chipotle sued for non-GMO claims – Michael Koon, Cori Goldberg and Megan Engel of Norton Rose Fulbright on the firm’s blog, Health Law Pulse Property Owners… [read post]
18 Dec 2018, 11:12 am
First Southwest Michael Giokas Fortune Financial Services, Inc Comprehensive Asset Management and Servicing Travis Marks Wells Fargo Advisors, LLC JP Morgan Securities LLC Richard Minichino Next Financial Group, Inc Wunderlich Securities, Inc Thomas Park Merrill Lynch, Pierce, Fenner & Smith Inc Wells Fargo Clearing Services, LLC Brian Roth The Benchmark Company, LLC… [read post]
26 Nov 2019, 7:44 am
According to FINRA Disciplinary actions for November 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ajayi, Emmanuel JP Morgan Securites LLC HSBC Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Bennett,… [read post]
26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services Bartley,… [read post]
5 Mar 2015, 11:52 am
To similar effect, see the Merrill brief at pages 16-20. [read post]
3 Aug 2010, 11:01 pm
In my last blog post about NBTY (NYSE: NTY), I examined the timing of purchases of company stock by directors Michael L. [read post]
4 Aug 2023, 7:34 am
According to FINRA Disciplinary actions for July 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Michael Borning Pruco Securities, LLC Wells Fargo Clearing Services, LLC Conway Donaldson Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Incorporated Bridget Fernandez UBS… [read post]
6 Jan 2022, 3:00 am
Campaign Finance National: “PAC Giving Continues to Give Some Companies Pause” by Kate Ackley (Roll Call) for MSN Ethics National: “Facebook Groups Topped 10,000 Daily Attacks on Election Before Jan. 6, Analysis Shows” by Craig Silverman, Craig Timberg, Jeff Kao, and Jeremy Merrill (Washington Post) for Anchorage Daily News National: “House Panel Asks Sean Hannity of Fox News to Cooperate in Jan. 6 Inquiry” by Michael Grynbaum and Luke… [read post]
1 Mar 2012, 9:31 am
Editor-in-Chief: Adam Park Executive Editor: Nathaniel Harris Managing Editor: Benjamin Charlton Publications Editor: Morgan Shields Senior Articles Editor: Genevieve Miller Articles Editors: Peter Anderson, Kylie Caporuscio, Anthony Kanakis Articles Submissions Editor: Anthony Kanakis Senior Research Editor: Jennifer Johnston Research Editors: Jason Malashevich, Tom Randall, David Brodian Senior Notes Editor: Carolyn Head Notes Editors: Mark Stevens, Emily Barber, Juan Kassar Outreach Editor: Jacob… [read post]
3 Jan 2024, 7:52 am
The Michael K. [read post]
6 Jan 2010, 3:16 pm
Ford (Penn, Michigan Law), moved to New York three years ago and currently works at Merrill Lynch. [read post]
8 May 2018, 8:55 am
Carlos Antonio Rodriquez UBS Financial Services Inc Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
30 Jul 2007, 11:29 am
But its managers are being forced to make decisions on the same focused quarterly-returns basis that guides choices at Merrill Lynch or General Motors. [read post]
22 Apr 2024, 3:00 am
Campaign Finance Louisiana: “55 Louisiana Lawmakers Raise Campaign Cash During Special Sessions” by Julie O’Donoghue for Louisiana Illuminator Pennsylvania: “The Philly Ethics Board Has Changed Its Rules on Super PACs in the Wake of the 2023 Mayor’s Race” by Sean Collins Walsh (Philadelphia Inquirer) for MSN Wyoming: “It’s Getting More Expensive to Run for Statewide Offices in Wyoming, According to Report” by Hannah… [read post]
28 Jan 2011, 5:34 am
Michael Niccole for Mistresses Makeover day on Jan. 12. [read post]
