Search for: "Morgan Stanley & Co. Inc."
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26 Oct 2015, 7:25 am
Subaru of America Inc. is represented by Stanley H. [read post]
22 Oct 2015, 3:09 pm
Filed: October 1st, 2015 Opinion by: J. [read post]
1 Oct 2015, 7:46 am
Morgan Securities LLC, Chase Investment Securities Corp., Wachovia Securities, Morgan Stanley DW, Inc., Prudential Securities, Inc. and Whale Securities Co., L.P., according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
11 Sep 2015, 9:50 am
Morgan Stanley & Co., 2. [read post]
8 Sep 2015, 8:07 am
In another blog post, Malecki Law cited fines against Citigroup Global Markets, Inc., Morgan Stanley & Co, LLC, UBS Financial Services, and Wells Fargo Advisors, LLC for permitting recommendations of inverse and leveraged ETFs without proper supervision. [read post]
21 Aug 2015, 10:23 am
Morgan Stanley & Co., Inc. [read post]
12 Aug 2015, 9:08 am
– $100,000 Merrill Lynch, Pierce, Fenner & Smith Incorporated – $500,000 Morgan Stanley & Co. [read post]
6 Aug 2015, 1:59 pm
Morgan Stanley & Co., 2. [read post]
20 Jul 2015, 4:58 pm
Eight U.S. firms are currently expected to be identified as GSIBs under the final rule: Bank of America Corporation; The Bank of New York Mellon Corporation; Citigroup, Inc.; The Goldman Sachs Group, Inc.; JPMorgan Chase & Co.; Morgan Stanley; State Street Corporation; and Wells Fargo & Company…Like the proposal issued in December 2014, the final rule requires GSIBs to calculate their surcharges under two methods and use the higher of the… [read post]
6 Jul 2015, 4:25 pm
Twelve firms were required to submit plans on July 1: Bank of America Corporation, Bank of New York Mellon Corporation, Barclays PLC, Citigroup Inc., Credit Suisse Group AG, Deutsche Bank AG, Goldman Sachs Group, JPMorgan Chase & Co., Morgan Stanley, State Street Corporation, UBS AG, and Wells Fargo & Company. [read post]
25 Jun 2015, 1:29 pm
Morgan Securities L.J. [read post]
15 May 2015, 9:50 am
Morgan Stanley & Co., 2008 U.S. [read post]
12 May 2015, 3:30 pm
Steel Corp. 90271J598 UBS Trigger Phoenix Autocallable Optimization Securities linked to United Rentals, Inc. 90271J523 UBS Trigger Phoenix Autocallable Optimization Securities linked to MGM Resorts International 90271J556 UBS Trigger Phoenix Autocallable Optimization Securities linked to Market Vectors Gold Miners ETF 90271J531 UBS Trigger Phoenix Autocallable Optimization Securities linked to Gilead Sciences Inc. 90271J549 UBS Trigger Phoenix Autocallable Optimization Securities… [read post]
12 May 2015, 2:43 pm
Steel Corp. 06366QR82 Bank of Montreal Reverse Exchangeable Notes linked to Oracle Corp. 06366QM46 Bank of Montreal Reverse Exchangeable Notes linked to Alcoa, Inc. 06366QM53 Bank of Montreal Reverse Exchangeable Notes linked to American Express Co. 06366QM61 Bank of Montreal Reverse Exchangeable Notes linked to Boeing Co. 06366QM79 Bank of Montreal Reverse Exchangeable Notes linked to Caterpillar, Inc. 06366QM87 Bank of Montreal Reverse Exchangeable Notes linked… [read post]
12 Mar 2015, 6:45 am
Fackrell entered the securities industry in 2007 and was registered with Morgan Stanley & Co., Incorporated. [read post]
11 Mar 2015, 4:53 pm
Goldman Sachs Group, Inc., JP Morgan Chase & Co., and Morgan Stanley met minimum capital requirements on a post-stress basis after submitting adjusted capital actions. [read post]
3 Feb 2015, 11:25 am
Hollnagel and BCI Aircraft Leasing, Inc.Case Number: 07-cv-04538 (United States District Court for the Northern District of Illinois)Case filed: August 13, 2007Qualifying judgment/order: December 18, 2014 1/27/2015 4/27/2015 2015-2 In the Matter of Morgan Stanley & Co. [read post]
16 Jan 2015, 12:01 pm
No.6: Morgan Stanley fined for $1 millionReason for Fine: Paying approximately $100 million in commissions to approximately 780 unregistered, retired brokers without properly ensuring they were no longer soliciting or advising. [read post]
16 Jan 2015, 6:16 am
– $5 million JP Morgan Securities LLC – $5 million Deutsche Bank Securities Inc. [read post]
10 Dec 2014, 4:48 pm
Eight U.S. firms would currently be identified as GSIBs under the proposal: Bank of America Corporation, The Bank of New York Mellon Corporation, Citigroup Inc., The Goldman Sachs Group, Inc., JPMorgan Chase & Co., Morgan Stanley, State Street Corporation, and Wells Fargo & Company…The proposal builds on a GSIB capital surcharge framework agreed to by the Basel Committee on Banking Supervision (BCBS), augmented to address risks to U.S.… [read post]
