Search for: "Morgan Stanley & Co. LLC "
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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discovery provisions in Massachusetts’ corporations law were an “integral” part of the statutory scheme and therefore superseded New York discovery rules.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]
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]
22 Sep 2021, 12:53 pm
Morgan Stanley Jonathan Ward State Farm VP Management Corp. [read post]
13 Nov 2008, 6:40 pm
Guttenberg and 12 other individuals, mostly former employees at Morgan Stanley, Bank of America Corp, and Bear Stearns Co., Inc., were criminally charged for their involvement in the insider trading ring. [read post]
3 Mar 2008, 6:42 am
See, e.g., Sharon Steel, 691 F.2d at 1048; Morgan Stanley & Co., Inc. v. [read post]
26 Nov 2019, 7:33 am
Edwards & Sons, Inc H&R Block Financial Advisors Leeuw, Nancy Leeuw, Perry PFS Investments Inc Primerica Financial Services Brian Decker Worden Capital Management LLC Legend Securities Jones, Johnnie National Securities Corporation John Thomas Financial Misseri, Bernardo Legend Securities, Inc JP Turner & Company Oakes, Thomas Royal Securities Company Kent… [read post]
2 Nov 2009, 2:55 pm
Sierra Pacific Power Co. (1956), as interpreted in Morgan Stanley Capital Group v. [read post]
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]
8 Jul 2019, 6:52 am
Morgan Stanley & Co. [read post]
8 Jul 2019, 6:52 am
Morgan Stanley & Co. [read post]
16 Jul 2008, 9:25 pm
Morgan Securities, Inc., Lehman Brothers Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. [read post]
16 Mar 2010, 1:35 am
Morgan Stanley Dean Witter & Co. [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]
1 Jun 2009, 9:10 pm
Inc., Royal Bank of Canada, Morgan Stanley, Wachovia Corp, and UBS AG. [read post]
12 Mar 2015, 6:45 am
Fackrell entered the securities industry in 2007 and was registered with Morgan Stanley & Co., Incorporated. [read post]
11 Apr 2018, 9:04 am
The suit was filed against JPMorgan Chase & Co, Citigroup, Inc., Bank of America Corp., Barclays PLC, Morgan Stanley, William Blair & Co., BMO Financial Group, and Fifth Third Bancorp, claiming the firms used a “Robo Resetting” device to fraudulently impose “artificially high interest rates” on the VRDOs so they would not have to be remarketed. [read post]
19 Sep 2022, 4:25 am
In 2016, Gabriel and Holifield sold a controlling interest in XRI to Morgan Stanley. [read post]
26 Nov 2019, 7:44 am
According to FINRA Disciplinary actions for November 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 Ajayi, Emmanuel JP Morgan Securites LLC HSBC Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage… [read post]
7 Jan 2020, 2:17 pm
Morgan Stanley Medium Term SR NTS Northstar Healthcare Income Inc. [read post]
25 Jun 2015, 1:29 pm
Morgan Securities L.J. [read post]
