Search for: "Morgan Stanley & Co. LLC "
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8 Jul 2019, 6:52 am
Morgan Stanley & Co. [read post]
8 Jul 2019, 6:52 am
Morgan Stanley & Co. [read post]
1 Jul 2019, 12:46 pm
Merrill Lynch, Pierce, Fenner & Smith Inc Heilman, Peter Edward Jones High, Robert First Financial Equity Corp Chase Investment Services Corp Irizarry, Melissa LPL Financial LLC Invest Financial Corp LaBare, Richard Union Capital Company Morgan Stanley & Co Inc Mariampolski, Arnold AXA Advisors Ohel, Ziv CFD Investments, Inc Ameriprise… [read post]
1 Jul 2019, 12:40 pm
Morgan Securities LLC AXA Advisors, LLC Maurer, William Voya Financial Partners, LLC Nye, Jason The O.N. [read post]
1 Jul 2019, 11:00 am
Morgan Stanley & Co., LLC, et al., Case No. 1:18-cv-11528 (S.D. [read post]
24 May 2019, 7:25 am
From June 2013 until November 2013 Greenfield was registered with Morgan Stanley. [read post]
23 May 2019, 7:43 am
According to FINRA Disciplinary actions for May 2019, 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 Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Cody, Jill Concorde Investment Services, LLC Westminster Financial Securities, Inc Cody, Richard IFS Securities … [read post]
23 May 2019, 7:36 am
Cole Financial, Inc Morgan Stanley Donato, Scott Morgan Stanley Flaningan, Joel NYLife Securities LLC Synergy Investment Services LLC Johnson, Anthony Marnelego, Christopher First Standard Financial Company LLC Merriman Capital, Inc Ness, Valerie Norris, Timothy BMO Harris Financial Advisors, Inc HarrisDirect LLC Tudor,… [read post]
22 May 2019, 10:16 am
These firms include UBS Financial Services, Merrill Lynch, Credit Suisse, and Morgan Stanley. [read post]
25 Apr 2019, 12:02 pm
According to FINRA Disciplinary actions for April 2019, the following individuals were barred 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 Austin, Phillip JP Morgan Securities Chase Investment Services Bishop, Tywan Charles Schwab & Co E Trade Securities … [read post]
22 Apr 2019, 9:48 am
Co. v. [read post]
19 Apr 2019, 5:39 am
According to FINRA Disciplinary actions for March 2019, 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 Barrera, Cynthia Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Beyn, Edward Rothchild Lieberman LLC Craig Scott Capital Blanchard, Keith Waddell & Reed… [read post]
19 Apr 2019, 5:36 am
According to FINRA Disciplinary actions for March 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 Ferree, Stuart LPL Financial LLC Invest Financial Corporation Anderson, Andy LPL Financial LLC Invest Financial Andrzejewski,… [read post]
12 Apr 2019, 8:28 am
Morgan Stanley Delaney, Glen Newbridge Securities Corp Craig Scott Capital, LLC Flaningan, Joel NYLife Securities LLC Synergy Investment Services, LLC Hovermale, Jeffrey Sovereign Legacy Securities, Inc Family Income Planning, Inc Marnelego, Christopher First Standard Financial Company LLC Merriman Capital, Inc Ness, Valerie O’Neal,… [read post]
12 Apr 2019, 8:25 am
Insurance Agency Peter Gomez NYLife Securities LLC New York Life Insurance Co Harris, Dionna Vanguard Marketing Corporation Henry, Omar Cetera Advisors LLC JP Morgan Securities LLC King, Erin Wells Fargo Clearing Services, LLC Wells Fargo Bank Lin, Linda Lossing, Christopher LPL Financial LLC Edward Jones McNeill, Randolph… [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]
21 Feb 2019, 2:04 pm
Once again involving variable rate securities, in that lawsuit Morgan Stanley (MS), Citigroup, JPMorgan Chase, Bank of America, William Blair & Co., Barclays Capital, Fifth Third Bancorp, and BMO Capital Markets Corp. were accused of taking part in a ‘Robo-Resetting” scam that allowed them to mechanically establish rates as a group without considering each bond’s unique traits, investor demand, or the market conditions. [read post]
30 Jan 2019, 1:06 pm
Pro-Integrity Securities Evans, Makisha Feitelnerg, Brendan United Planners Financial Services LPL Financial LLC Jimenez, Mario Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Justafort, Frantz JP Morgan Securities LLC Chase Investment Services Maddox, Nicholas TCFG Wealth Management LLC US Bancorp Investments Gustavo Madrigal-Flores JP… [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]
10 Jan 2019, 8:47 am
Now, a FINRA arbitration panel is ordering Morgan Stanley Smith Barney LLC to pay retired NFL player Asante Samuel and Mega Millions lottery winner James Grove $879K and $3.3M, respectively, in separate claims but once again involving Parthemer. [read post]
