Search for: "In re Merrill"
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19 Jul 2019, 2:50 pm
Merrill Lynch has paid $40,000,000 to settle a case involving Boston financial advisor Charles Kenahan. [read post]
25 Jan 2011, 1:09 pm
Over the weekend, WNYC's On the Media (OTM) featured an interview with ACLU client Nick Merrill, who challenged the National Security Letter he received six years ago in 2004. [read post]
22 Oct 2009, 6:37 am
They're going to court. [read post]
8 Oct 2009, 3:50 pm
But former Merrill CEO John Thain does, and he had some things to say about it earlier this week.These instruments were so complicated. [read post]
20 Feb 2019, 4:24 pm
It can be a sudden, shocking, […] The post Three Steps to Take If You’re Charged With Domestic Violence appeared first on Merrill Law Firm. [read post]
5 Dec 2008, 4:00 pm
” Just another reason why fairness opinions sometimes seem like they’re not exactly fair. [read post]
24 Apr 2009, 10:12 am
The transcript of Paulson threatening the job of CEO Lewis if he does not close the Merrill Lynch deal has re-ignited the fuse on whether, in particular, the government overplayed its hand in forcing the merger and on whether, in... [read post]
2 Sep 2009, 2:23 pm
Royal Bank of Scotland Group plc, S.D.N.Y., 09-cv-00704, 1/28/09 In re: Merrill Lynch & Co. [read post]
26 Dec 2013, 3:58 am
Shortly after re-opening the estate, the attorneys issued a subpoena duces tecum to Merrill Lynch. [read post]
15 Oct 2009, 9:19 pm
§ 1407, Over Objections of Class Action Plaintiffs, and Transfers Actions to Southern District of New York Four class actions – one each in Kentucky, Louisiana, Massachusetts and New York – were filed against various defendants including Merrill Lynch arising out of “allegations that Merrill Lynch and/or its employees made misrepresentations or omissions in the context of the sale of auction rate securities (ARS) and manipulated the auctions for ARS in order… [read post]
8 Aug 2020, 2:21 am
UPDATE: Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited By Tax Court (BrokeAndBroker.com Blog)FINRA Announces Results of Governor Elections / Firms Elect Wendy Lanton as Small Firm Governor, Re-Elect Jim Nagengast as Large Firm Governor (FINRA Release)New Jersey Broker Sentenced to Prison for "Cherry-Picking" Scheme (DOJ Release)FINRA Imposes Fine and Suspension for Rep's Willful Nondisclosure of Tax LiensIn the Matter of Steven Michael Voce,… [read post]
1 Nov 2019, 4:53 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent (FINRA Arbitration Decision 18-03461)SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints (SEC Release)SEC Charges Two Men with Fraud and Unregistered Broker Activity (SEC Re... [read post]
24 Apr 2009, 8:50 am
Henry Paulson told Ken Lewis in December that he had to go forward with the Merrill acquisition, and that he should keep quiet about the substantial losses. [read post]
23 Jan 2009, 3:01 am
(If you're not familiar with Section 14(a) shareholder class actions, there's a little background below the fold.) [read post]
26 Nov 2007, 4:41 am
Major financial institutions, including Citigroup, Merrill Lynch and Swiss Re, have [...] [read post]
17 Feb 2010, 7:19 am
...if you're gauging court scrutiny of SEC settlements. [read post]
22 Jul 2010, 1:52 pm
addthis_url = 'http%3A%2F%2Fwww.karlbayer.com%2Fblog%2F%3Fp%3D10162'; addthis_title = 'Commentary+on+In+re+Merrill+Lynch+%26%23038%3B+Co+%7C+Texas+Supreme+Court+Case'; addthis_pub = ''; [read post]
23 Jan 2009, 8:01 am
” Now since this level of decorating detail — $35,000 for a commode on legs (which we’re guessing is a piece of furniture like the one pictured as opposed to a toilet) — wasn’t in any of Merrill’s public filings with the SEC, it was clearly leaked by a Thain adversary. [read post]
18 Mar 2016, 3:30 am
Merrill, Anticipatory Remedies for Takings, 128 Harv. [read post]
6 Feb 2008, 1:14 pm
After a brief departure, we're right back on the EDD bandwagon. [read post]
