Search for: "Morgan Stanley & Co., Inc." Results 1 - 20 of 424
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15 Sep 2011, 12:10 pm
Morgan Stanley Smith Barney, or more accurately, its predecessor Morgan Stanley andamp; Co., the Morgan Stanley part of the June 2009 joint venture with Morgan Stanley andamp; Co. and the Smith Barney division of Citigroup Global Markets, Inc., is no stranger to e-mail problems. [read post]
12 Aug 2010, 2:29 pm by Securites Lawprof
FINRA censured and fined Morgan Stanley & Co., Inc. $800,000 for failing to make public disclosures required by FINRA's rules governing research analyst conflicts of interest. [read post]
22 Aug 2014, 10:06 am by Lax & Neville LLP
On August 15, 2014, a three (3) member Financial Industry Regulatory Authority (“FINRA”) arbitration panel found Morgan Stanley & Co., Inc. [read post]
11 Aug 2010, 7:24 am
After being caught, Morgan Stanley quickly and quietly settled a proposed FINRA enforcement action by entering into an Acceptance Waiver andamp; Consent, paying a small fine ($800,000), and without admitting or denying the allegations, through a deal with FINRA (formerly the National Association of Securities Dealers, Inc.), a andquot;self-regulatory organizationandquot; which Morgan Stanley is a member, allows Morgan Stanley to keep… [read post]
14 Feb 2023, 7:02 am by Zamansky LLC
Some of the firm’s largest institutional investors (as of early 2023) include SSgA Funds Management, Inc. (7.14 percent), The Vanguard Group, Inc. (6.34 percent), BlackRock Fund Advisors (3.54 percent), Wellington Management Co. [read post]
30 Jun 2009, 1:55 am
Morgan Stanley & Co., Inc., 09-CV-5415 (S.D.N.Y.).According to Ashland's complaint, in or around August 2007, Ashland expressed concerns to Morgan Stanley about the global financial crisis. [read post]
14 Jul 2022, 8:28 am by Silver Law Group
His previous employers were Wells Fargo Advisors, LLC (CRD#:19616), also of Wilmington, and Charles Schwab & Co., Inc. [read post]
12 May 2012, 4:25 am by Jay Eng
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 basis for… [read post]
12 May 2012, 4:25 am by Jay Eng
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 basis for… [read post]
9 Jun 2022, 7:56 am by The White Law Group
  Shawn Good (CRD # 2022168) was reportedly registered with the following FINRA registered firms, among others during his career in the securities industry: 12/06/2012 – 03/10/2022, MORGAN STANLEY (CRD#:149777), WILMINGTON, NC,   11/09/2004 – 12/07/2012, WELLS FARGO ADVISORS, LLC (CRD#:19616), WILMINGTON, NC  05/22/1996 – 08/11/2004, CHARLES SCHWAB & CO., INC. [read post]