Search for: "Morgan Stanley & Co. LLC "
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19 Jul 2008, 2:48 pm
In the months leading up to the collapse, JP Morgan Securities, Inc., Lehman Brothers, Morgan Stanley, Bear Stearns Cos. and Merrill Lynch & Co. warned the Commonwealth of Massachusetts that the auction-rate markets were in trouble and that the state should consider refinancing some of its debt. [read post]
2 Oct 2018, 5:48 am
Alan Garett Fidelity Brokerage Services LLC Ramon Herrera Wells Fargo Clearing Services, LLC Mandee Khu JP Morgan Securities LLC Chase Investment Services Corp John Maccoll UBS Financial Services Inc Morgan Stanley DW Inc. [read post]
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 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 Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities,… [read post]
22 Apr 2024, 12:35 pm
Morgan Securities LLC Kevin Arvoy D.A. [read post]
11 Nov 2022, 9:28 am
LPL Financial LLC Kevin NcNeil SW Financial Joseph Gunnar & Co., LLC Alex Salcedo Scottrade, Inc. [read post]
1 Dec 2022, 7:23 am
Morgan Securities LLC Morgan Stanley Bruce Smith The Sports Advisory Group, LLC UBS Financial Services Inc. [read post]
11 Jan 2007, 3:25 pm
Bok, Co-President of Greenhill, was formerly a Managing Director in the M&A and restructuring department of Morgan Stanley in New York and London. [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… [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]
17 Apr 2008, 8:10 pm
Defendants included ex-employees from Morgan Stanley, UBS AG, Bear Stearns Co, and Bank of America Corp. [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]
20 May 2020, 2:17 pm
Morgan Securities LLC HSBS Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Group, Inc Bailey, Michael PFS Investments Inc Bisch, Sarah Santander Securities LLC Edward Jones Bishop, Tywan Charles Schwab & Co., Inc E Trade Securities LLC Borja, Mauricio Allstate Financial Services, LLC Botner,… [read post]
20 May 2020, 1:57 pm
Stifel, Nicolus & Company, Inc Sterne, Agee & Leach, Inc Kievman, Cary Ameriprise Financial Services, Inc Morgan Stanley Smith Barney Krupnick, Jeffrey Ameriprise Financial Services, Inc JHS Capital Advisors, LLC Lake, Jonathan Wells Fargo Clearing Services, LLC Morgan Stanley McCutchen, Jerry Sr. [read post]
28 Mar 2023, 12:15 pm
In 2010, Seymour became a co-trustee for a trust whose beneficiaries later became customers at Morgan Stanley, then Raymond James. [read post]
20 Sep 2010, 1:25 am
LLC v. [read post]
15 Dec 2017, 3:00 am
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. [read post]
8 Mar 2019, 12:56 pm
Morgan Stanley & Co., a New York district court ruled that unchecked offensive e-mail circulating within the workplace could constitute sexual harassment. [read post]
11 Apr 2016, 11:28 am
· Morgan Stanley Investment Management and one of its portfolio managers who paid nearly $9 million for unlawfully conducting “parking” trades that favored certain advisory client accounts over others that included an investment company. [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… [read post]
22 May 2019, 10:16 am
These firms include UBS Financial Services, Merrill Lynch, Credit Suisse, and Morgan Stanley. [read post]
