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Article

Dorsey & Whitney LLP | USA | 28 Jan 2011

In the matter of Merrill Lynch, Pierce, Fenner & Smith, Inc.

In the matter of Merrill Lynch, Pierce, Fenner & Smith, Inc., Admin. Proc. File No. 3-14204 (Jan. 25, 2011) alleges that the firm misused customer order information, charged certain customers undisclosed trading fees and failed to maintain proper records in violation of Exchange Act Sections 15(c)(1)(A), 15(g) and 17(a).

Article

Dorsey & Whitney LLP | USA | 26 Jan 2011

Merrill settles SEC claims

Merrill Lynch resolved claims that it misused customer order information, charged certain customers undisclosed trading fees and failed to maintain proper records.

Article

Dorsey & Whitney LLP | USA | 9 Jan 2009

What’s new for the 2009 proxy season

In comparison to recent proxy seasons, there are very few new disclosure requirements to tackle this year.

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