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Know Thyself and Other People in Brokerage Liability
The Supreme Court refused to review a case linking Merrill Lynch to Dabich Securities losses, leaving a district court ruling intact that Merrill Lynch failed to assess the debtor’s finances. Central is NYSE Rule 465 on due diligence to learn essential facts about customers and accounts, with broad wording implying strict accountability.
MENTIONED IN THIS ARTICLE
New York
Plato
Menander
Indiana
Dabich Securities Corp
Merrill Lynch, Pierce, Fenner & Smith
Dobich
Merrill Lynch
U.S. District Court
District Court
U.S. Supreme Court
New York Stock Exchange