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27 May 2022, 12:46 pm
Morgan Stanley Broker Thomas Bonds Has Three Investor Claims Resulted in Settlements Our broker misconduct attorneys are investigating claims of losses involving current and former customers of Morgan Stanley broker Thomas Craig Bonds. [read post]
13 Jun 2018, 11:33 am
Morgan Stanley continues to be subject to multiple claims relating to its recommendation and sale of Puerto Rico bonds. [read post]
3 Oct 2017, 11:25 am
The law firm is investigating sales of Puerto Rico municipal bonds by large U.S. based brokerage firms such as Wells Fargo and Morgan Stanley to their brokerage customers. [read post]
6 Apr 2018, 12:13 pm
In 2014, Puerto Rico was already headed for a severe financial crisis, with bond sales from Morgan Stanley brokers as the catalysts. [read post]
27 Feb 2018, 1:37 pm
Contact Our Firm if You’ve Invested with Angel Aquino Continue reading The post Angel Aquino of Morgan Stanley Claims for Puerto Rico Bonds appeared first on Securities Arbitration Lawyers Blog. [read post]
4 Oct 2012, 10:58 am
Record low yields on junk bonds have led Morgan Stanley to downgrade them and advise investors to reduce their holdings. [read post]
8 Jul 2010, 3:03 am
Goldman Sachs and Morgan Stanley have generated billions of dollars of revenue from fixed income trading over the last year, but that profit engine may have sputtered in the second quarter as bond markets grew turbulent, Reuters reported. [read post]
11 Nov 2011, 5:40 am
The Financial Industry Regulatory Authority (FINRA) has fined Morgan Stanley Smith Barney (Morgan Stanley) $1 million and ordered restitution for excessive markups and markdowns charged to customers on bond transactions. [read post]
29 Jan 2024, 12:00 pm
The representative suggested short-term trades in corporate bonds and preferred securities on numerous occasions, causing over $900,000 in losses for 10 clients. [read post]
1 Oct 2010, 1:35 pm
The Taiwanese bank claims Morgan Stanley made an investment linked to U.S. subprime mortgage bonds in mid-2006 and, after learning of problems with it, "dumped those losses" on CDIB in April 2007. [read post]
27 Sep 2007, 2:09 am
On September 7, 2007, the Bond Buyer had written:Two days later [Sept. 27], the state [California] plans to price $250 million of taxable, variable-rate general obligation bonds for its stem cell medical research program with Morgan Stanley as senior manager.The californiastemcellreport had a post on Sept. 26:We asked Tom Dresslar, a spokesman for the state treasurer's office, which handles the bond sales, about the transaction costs of doing such business. [read post]
10 Oct 2007, 2:27 pm
Morgan Stanley Dean Witter, Inc, a subsidiary of Morgan Stanley, furnished customers with trade confirmations that had missing or incorrect information relating to yield, call dates and/or prices and other features of the bonds, the SEC said. [read post]
24 May 2019, 9:20 am
Instead, Prouty placed them in a Morgan Stanley investment advisory program that involved more complex investments, such as options contracts, derivates, junk bonds, and exchange-traded funds. [read post]
22 May 2010, 9:33 am
Citigroup allowed the firm to help select the bonds linked to the derivatives because Morgan Stanley would have a stake in the performance of the securities,” the Bloomberg article reports [read post]
11 Nov 2011, 10:03 am
The AWC said that in 109 pairs of transactions, Morgan Stanley bought and sold corporate bonds from and to customers at unfair prices. [read post]
6 Jun 2020, 5:27 am
Since the bonds carried constitutional guarantees, investors were led to believe that they were secure. [read post]
2 Aug 2007, 11:13 am
FINRA FINES MORGAN STANLEY $1.5 MILLION FOR OVERCHARGING IN CORPORATE BOND SALES. [read post]
3 Aug 2007, 4:41 pm
The New Financial Industry Regulatory Authority (FINRA) has fine Morgan Stanley $1.5 million and ordered restitution of $4.6 million for overcharging clients on bonds. [read post]
18 Sep 2019, 1:36 pm
Deliz Morales (Deliz), formerly registered with Morgan Stanley out of Tampa, Florida. [read post]
2 May 2010, 12:22 am
Stanley Veliotis (Fordham University, Graduate School of Business) & Kristen Gray (Graduate Student, Fordham University, Graduate School of Business) have published Proposal: Compulsory Bond Purchase as Compromise to Income Tax Rate Increases, 8 DePaul Bus. [read post]
