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8 May 2020, 9:25 am
Damion Smith Morgan Stanley UBS Financial Services Inc. [read post]
8 May 2020, 7:33 am
Prior to joining FSC Securities Corporation, Fox was registered with Morgan Stanley and Janney Montgomery Scott LLC. [read post]
27 Apr 2020, 4:33 am
Other defendants include Barclays, Citigroup, Credit Suisse, Deutsche Bank, Goldman Sachs, Morgan Stanley, Royal Bank of Scotland and Wells Fargo & Co, or their respective affiliates. [read post]
23 Apr 2020, 6:01 am
Remember how in the last crisis, banks like UBS, Morgan Stanley, and Goldman Sachs created mortgage-backed securities, known as MBSs, then sold slices of those securities to their customers? [read post]
23 Apr 2020, 6:01 am
Remember how in the last crisis, banks like UBS, Morgan Stanley, and Goldman Sachs created mortgage-backed securities, known as MBSs, then sold slices of those securities to their customers? [read post]
11 Mar 2020, 8:47 am
GTD Callable DTD 11/30/12 Morgan Stanley Medium Term SR NTS DTE 07/30/12 Lloyds Bank PLC LKD to CMS RT USD 30Y DTD 1/31/13 Societe Generale Callable CMS Spread DTD 3/28/13 Societe Generale SA ISIN DTD 6/28/13 International BK For Recon & DEV Medium Term BK Callable DTD 6/30/14 Citigroup Inc Medium Term SR NTS Callable DTD 7/31/14 Seagate HDD Cayman DTD 12/2/14 Morgan Stanley FIN LLC Global GTD DTD 9/30/16 Morgan Stanley FIN LLC… [read post]
3 Mar 2020, 6:52 am
What follows is a list of the Downtown Manhattan and Wall Street employers whose employees frequently request our legal services on 9/11 Victim Compensation Fund (VCF) claims: Goldman Sachs Morgan Stanley Marsh & McLennan Companies Merrill Bank of New York Mellon AIG (American International Group) New York Stock Exchange (NYSE) American Stock Exchange New York Mercantile Exchange (NYMEX) Federal Reserve Lehman Brothers Standard & Poor’s Bank of… [read post]
26 Feb 2020, 3:00 am
This Axios article discusses The Members Exchange, or MEMX, which is backed by the likes of Goldman Sachs, BofA & Morgan Stanley. [read post]
7 Jan 2020, 2:17 pm
Morgan Stanley Medium Term SR NTS Northstar Healthcare Income Inc. [read post]
24 Dec 2019, 8:44 am
(CRD#:2525), also of Los Angeles, Morgan Stanley & Co., Incorporated (CRD#:8209) and Morgan Stanley DW INC. [read post]
24 Dec 2019, 8:27 am
Morgan Securities LLC (CRD#:79) and Deutsche Bank Securities Inc. [read post]
23 Dec 2019, 7:30 am
Bank of America, BNP Paribas, Cantor Fitzgerald, Citigroup, Credit Suisse, HSBC , JPMorgan Chase, Morgan Stanley, Nomura , Societe Generale, Toronto-Dominion and UBS will separately pay a combined $250 million. [read post]
22 Dec 2019, 4:48 am
“Hong Kong has almost 600 stockbrokerages and 164 licensed banks, including 70 of the world’s largest players such as HSBC, JPMorgan Chase, Morgan Stanley, Goldman Sachs. [read post]
6 Dec 2019, 3:00 am
Hunter Enters Plea in Federal Campaign Finance Case, Telling Judge, ‘Guilty’ San Diego Union-Tribune – Morgan Cook, Kristina Davis, and Jeff McDonald | Published: 12/3/2019 U.S. [read post]
28 Nov 2019, 4:44 am
featured in today's Securities Industry Commentator:Former Managing Director Of Investment Bank Sentenced To 2 Years In Prison For Insider Trading Scheme (DOJ Release)SEC Charges Hedge Fund Adviser and Top Executives with Fraud (SEC Release)[In]Securities Guest Blog: WeWork Works It Out by Aegis Frumento Esq (BrokeAndBroker.com Blog)FINRA Fines and Suspends Former Morgan Stanley Rep Over Unsuitable Trades. [read post]
26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services Bartley, Jevon… [read post]
6 Aug 2019, 11:00 pm
How do you retire when you have no money? [read post]
6 Aug 2019, 2:58 pm
Kavanagh did not disclose his interest in MGMT or CEO-Sports to Morgan Stanley. [read post]
15 Jul 2019, 9:01 am
YES Strategy Investments Reportedly, UBS (UBS), Credit Suisse (CS), Bank of America’s (BAC) Merrill Lynch, Morgan Stanley (MS), and other brokerage firms brokers sold YES Strategies to many wealthy investors, touting the approach as safe way to increase returns on conservative portfolios. [read post]
3 Jul 2019, 4:06 am
That’s according to Morgan Stanley analyst James Faucette, who wrote that the three companies face a potentially “heavy burden” as already-fierce regulatory scrutiny is likely to keep growing. . . . [read post]
