Search for: "Morgan Stanley & Co. LLC "
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17 Mar 2014, 4:09 pm
Horowitz’s BrokerCheck report indicates he was a registered representative of Morgan Stanley SW from January 2001 through April 2007, and Morgan Stanley & CO form April 2007 through September 2008. [read post]
10 Mar 2014, 10:55 am
Morgan Securites, LLC Respondents J.P. [read post]
19 Dec 2013, 3:02 pm
Boleancu was Vice President, Senior Financial Consultant in the Wealth Management Group of Wells Fargo Advisors, LLC and, before that, a Vice President, Financial Advisor with Morgan Stanley & Co., Inc. [read post]
4 Oct 2013, 1:05 pm
According to Murphy’s BrokerCheck Report, he worked as both a broker and financial adviser for Morgan Stanley DW from June 1983 through May 2007, Morgan Stanley & CO from April 2007 through June 2009, and Morgan Stanley from June 2009 through May 2013. [read post]
24 Jul 2013, 5:35 pm
According to the Indictment, Boleancu was a vice president, senior financial consultant in the Wealth Management Group of Wells Fargo Advisors, LLC and, before that, a vice president, financial advisor with Morgan Stanley & Co. [read post]
23 Jul 2013, 12:44 pm
” According to Broker Check, Boleancu worked with Morgan Stanley & Co from 04/2007 – 02/2008, Wells Fargo Investments from 02/2008 to 01/2011, and Wells Fargo Adivisors from 01/2011 – 12/2011, during the relevant time. [read post]
11 Jul 2013, 7:25 am
The targeted firms are reportedly: Morgan Stanley, Merrill Lynch, UBS Securities LLC, Fidelity Brokerage Services LLC, Charles Schwab & Co. [read post]
3 Jun 2013, 3:29 am
Morgan Stanley Investment Advisors, 36 Misc 3d 889 (Sup Ct NY County 2012), involving a shareholder derivative suit against a Massachusetts corporation, where the court held that pre-trial discovery provisions in Massachusetts’ corporations law were an “integral” part of the statutory scheme and therefore superseded New York discovery rules. [read post]
21 Mar 2013, 6:50 am
Morgan Chase & Co. and Barclays PLC, have taken similar steps. [read post]
28 Jan 2013, 6:15 am
Last May, Finra ordered broker-dealers of four major banks, Wells Fargo & Co., Citigroup Global Markets Inc., Morgan Stanley and UBS Financial Services Inc., to pay $9.1 million in fines and restitution for selling such funds “without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
31 Oct 2012, 12:28 pm
As a lot of firms have transitioned from the fee based model used by more traditional brokerage firms (like Morgan Stanley, Merrill Lynch, etc.) to the investment advisory model, these new RIAs are left trying to figure out where to resolve any disputes that may arise. [read post]
31 Oct 2012, 12:28 pm
As a lot of firms have transitioned from the fee based model used by more traditional brokerage firms (like Morgan Stanley, Merrill Lynch, etc.) to the investment advisory model, these new RIAs are left trying to figure out where to resolve any disputes that may arise. [read post]
11 Sep 2012, 6:23 pm
To settle Financial Industry Regulatory Authority allegations that it committed numerous violations involving dealings between investment banking and research functions, Rodman & Renshaw LLC has agreed to pay a $315,000 fine. [read post]
23 Aug 2012, 1:58 pm
Morgan Stanley Mortgage Capital Holdings LLC, C.A. [read post]
1 Aug 2012, 5:51 am
Andrew S.Duff, Chairman and CEO, Piper Jaffray & Co. [read post]
3 Jul 2012, 4:29 pm
In Dallas County Court, 11 investors are suing Morgan Stanley Smith Barney and its financial adviser Delsa Thomas for bilking them in an alleged Texas Ponzi scam. [read post]
24 May 2012, 6:51 am
Another concern with FB's IPO is the possibility that FB, and its lead underwriters including Morgan Stanley, J.P. [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable… [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable… [read post]
7 May 2012, 2:07 pm
FINRA recently has announced that it has sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
