Posts In Choice of Law

Merrill Lynch Continues Choice-of-Law Provisions Despite of Industry Discipline and Admonishment Jan 02
For over two decades, Merrill Lynch has attempted to limit customer rights and/or evade state laws ...
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SEC Fines Morgan Stanley $5 Million Over Short Sale Violations in Swaps Business
San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
SEC Charges Brokers Michael Horowitz, Moshe Marc Cohen with $80 Million Variable Annuity Fraud
Convicted Fraudster Daniel Vazquez Gets Prison for Swindling Seniors Out of $2.6 Million
Unsuitably Risky SPACs, "A License to Rip Investors Off," Rile SEC and FINRA Regulators

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