Search for: "Morgan Stanley & Co. Incorporated"
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28 Jan 2020, 7:21 am
Hutton & Company (CRD#: 235), Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691), and Oppenheimer & Co. [read post]
11 Aug 2010, 7:24 am
The requirement to provide customers with this notification was part of the Securities and Exchange Commissionandrsquo;s final agreement with Morgan Stanley as part of the 2003 Research Analyst Settlement and was incorporated into a separate agreement with FINRA also in 2003. [read post]
23 Jan 2018, 7:15 am
Previous registrations include Morgan Stanley & Co., Morgan Stanley DW Inc., SunAmerica Securities, Franklin-Lord Incorporated, Kemper Securities Group, Boettcher & Company, Shearson Lehman Hutton Inc., EF Hutton & Company Inc., and Hutchison Financial Corporation. [read post]
4 Nov 2014, 8:52 am
[1] Tael One Partners Ltd v Morgan Stanley & Co International plc [2013] EWCA Civ 473, para 29 [2] Ibid., para 37 [read post]
10 Aug 2018, 11:07 am
Previous employers include Morgan Stanley & Co., Incorporated (CRD #8209) and Morgan Stanley DW Inc. [read post]
21 Jul 2020, 4:30 am
Michael Carter was also registered with Morgan Stanley & Co Incorporated between April 2007 and June 2009. [read post]
21 Jul 2020, 4:30 am
Michael Carter was also registered with Morgan Stanley & Co Incorporated between April 2007 and June 2009. [read post]
30 Oct 2017, 3:20 am
CFTC Orders Morgan Stanley and Co. [read post]
20 Aug 2018, 1:12 pm
Previous employers include Morgan Stanley & Co. [read post]
9 Jan 2020, 6:56 am
(CRD#:6363), Morgan Stanley & Co. [read post]
3 Sep 2020, 8:21 am
According to FINRA Disciplinary actions for August 2020, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Cynthia Barrera Morgan Stanley Smith Barney Morgan Stanley & Co. [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]
28 Dec 2020, 1:55 pm
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Frisco, TX, Morgan Stanley Smith Barney (CRD#:149777) and Morgan Stanley & Co. [read post]
22 Dec 2010, 3:30 am
Morgan Stanley & Co. [read post]
31 Jan 2017, 12:06 pm
His most recent registration was with Morgan Stanley in New York. [read post]
21 Mar 2007, 12:07 pm
Morgan Stanley & Co. [read post]
1 Sep 2023, 6:07 am
He was previously employed by Morgan Stanley (CRD# 149777), Citigroup Global Markets Inc. [read post]
24 Jan 2022, 1:43 pm
Jared Poe Morgan Stanley Smith Barney Morgan Stanley & Co Incorporated Yousuf Salijooki Wordon Capital Management LLC Salomon Whitney Financial Dudley Stephens Coastal Equities, Inc. [read post]
29 Dec 2006, 10:44 am
A copy of the prospectus relating to this offering may be obtained by contacting Morgan Stanley & Co. [read post]
1 May 2014, 6:40 am
As such, Respondent is liable for and shall pay to Claimant the amount of $237,326.00 minus $40,000.00 awarded to Respondent, for a net amount due to Claimant of $197,326.00. 11-03662 Morgan Stanley Smith Barney LLC; Morgan Stanley Smith Barney FA Notes Holdings LLC, Morgan Stanley & Co., LLC John Darold Simmons Respondent to pay $546,336.00 in compensatory damages, which amount includes pre-judgment interest. [read post]
