Search for: "R. A. Stanley"
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27 Sep 2007, 11:19 pm
FINRA also said that Morgan Stanley failed to produce email that was the subject of regulatory requests. [read post]
9 Mar 2015, 7:35 am
U.S. authorities are investigating whether a hacker is behind the online publication of a cache of Morgan Stanley's client data and not the financial adviser who was fired in connection with the breach, according to CNN and The Wall Street JournalFor more information, go to Morgan Stanley breach probe shifts to hacker from fired employee: WSJ---The attorneys at Sallah Astarita & Cox, LLC include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
11 Nov 2011, 5:40 am
The Financial Industry Regulatory Authority (FINRA) has fined Morgan Stanley Smith Barney (Morgan Stanley) $1 million and ordered restitution for excessive markups and markdowns charged to customers on bond transactions. [read post]
22 May 2019, 11:38 am
The post Morgan Stanley Lawsuit appeared first on The White Law Group. [read post]
30 Sep 2020, 6:09 am
The Securities and Exchange Commission today announced settled charges against Morgan Stanley & Co. [read post]
13 Oct 2017, 8:08 am
AdvisorHub has an article regarding a shakeup in the Morgan Stanley offices in Virginia. [read post]
10 Jun 2010, 5:54 am
The guys at Morgan Stanley sent me a really good report on internet trends that I thought would be good to share. [read post]
1 Jun 2009, 7:49 am
The joint venture between Morgan Stanley and Smith Barney closed today, creating a massive brokerage firm with over 18,000 financial advisors and 1,000 branch offices.According to press reports, the joint venture will handle each firm's retail operations, which each firm's institutional business will remain separate, although institutional will execute is orders through the joint venture.What remains to be seen is the effect of the joint venture, if any, on existing relationships… [read post]
21 Dec 2015, 3:00 am
Stanley was a very generous man. [read post]
20 Oct 2014, 6:00 pm
Suburban Philadelphia Orphans’ Court Judge Stanley Ott decided that the widow of R&B singer Teddy Pendergrass will retain control over his estate after rejecting a will submitted by the singer’s son. [read post]
9 Mar 2010, 6:15 am
Stanley Fish's latest effort in the New York Times bears the title "Do You Miss Him Yet," a reference to former President George W. [read post]
5 Feb 2016, 11:49 am
On January 29, Morgan Stanley and the Federal Deposit Insurance Corporation agreed to settle five suits encompassing state and federal claims alleging that Morgan Stanley made misrepresentations in offering residential mortgage-backed securities to three now-defunct banks. [read post]
24 Jan 2011, 2:44 am
Morgan Stanley’s legal department promotes diversity in many ways. [read post]
23 Jan 2019, 1:29 pm
Even binding arbitration might be getting short Morgan Stanley this week. [read post]
17 Mar 2017, 9:12 am
Stanley? [read post]
16 Oct 2012, 1:59 pm
The Award stands out for various reasons, including the punitive damages awarded against Morgan Stanley and the sizable attorneys' fees awarded to Fidelity. [read post]
18 Nov 2011, 9:00 am
The SEC charged Morgan Stanley Investment Management (MSIM) with violating securities laws. [read post]
22 Aug 2014, 10:06 am
The trust was managed by Morgan Stanley’s banking unit. [read post]
24 Jun 2015, 2:40 pm
The Morgan Stanley AWC may be found here. [read post]
25 Aug 2017, 6:17 am
Morgan Stanley Censured & Fined According to FINRA, Morgan Stanley has agreed to pay $500,000 to the Financial Industry Regulatory Authority and restore $103,219 to investors for improperly executing trades of preferred securities. [read post]
