Search for: "Morgan Stanley"
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1 Feb 2023, 2:39 pm
Without further ado, here are the Top Ten SEC and CFTC recoveries of 2022 in cases other than FCPA enforcement, with links to more information about each of the cases: Off-Channel Messaging Sweep – The SEC and CFTC joined forces to collect over $1.8 billion from major financial institutions—including Barclays, Bank of America, Citi, Credit Suisse, Deutsche Bank, Goldman Sachs, Morgan Stanley, and others—over their failure to prevent… [read post]
1 Feb 2023, 2:05 am
Amazon, Meta, and Twitter have made significant cuts to their workforces, as well as Morgan Stanley and Goldman Sachs. [read post]
25 Jan 2023, 1:03 pm
Morgan Stanley financial advisor Anthony Michael Gallea in Hendersonville, North Carolina manages $1.4 billion in covered call writing strategy according to his website. [read post]
18 Jan 2023, 7:00 pm
., Morgan Stanley and Citigroup Inc. [read post]
17 Jan 2023, 6:11 am
The Tesla and SpaceX chief financed his $44 billion deal to take Twitter private in October by securing the huge debt from a syndicate of banks led by Morgan Stanley, Bank of America, Barclays, and Mitsubishi. [read post]
12 Jan 2023, 7:03 am
White dudes vying for the top job at Morgan Stanley, that is, now that the fourth white dude retired. [read post]
11 Jan 2023, 7:24 am
Morgan Stanley & Co. [read post]
10 Jan 2023, 7:39 am
Barclays Capital, Citigroup Global Markets, Credit Suisse, Goldman Sachs, Morgan Stanley, UBS, and Deutsche Bank Securities, DWS Distributors and DWS Investment Management Americas each agreed to pay penalties of $200 million each for communications failures. [read post]
4 Jan 2023, 6:09 am
Moreover, there was no evidence that either Morgan Stanley or Morgan Stanley Asia Limited sought to negatively affect Garvey’s post-employment opportunities. [read post]
3 Jan 2023, 2:17 pm
Her previous employers were Morgan Stanley (CRD#:149777) and Edward Jones (CRD#:250), also of Wichita Falls. [read post]
30 Dec 2022, 7:37 am
National Planning Corporation Michael Richie Fidelity Brokerage Services LLC Edward Von Der Schmidt Morgan Stanley & Co. [read post]
30 Dec 2022, 6:22 am
Should You Sue Your Broker-Dealer Over Your Investor Losses From Morgan Stanley’s Covered Call Options Strategy? [read post]
25 Dec 2022, 12:13 pm
Christopher Garvey, an overseas employee of US-based corporation Morgan Stanley, brought the case against the US Department of Labor Administrative Review Board (ARB) after he witnessed Morgan Stanley employees committing potential US securities law violations. [read post]
21 Dec 2022, 2:55 pm
The ex-Morgan Stanley brokers filed those claims in a Manhattan federal court initially in December 2020. [read post]
20 Dec 2022, 7:06 am
Chang was reportedly affiliated with Morgan Stanley in Cupertino, California from February 2016 through August 2022. [read post]
13 Dec 2022, 10:25 am
Analysts led by Edouard Aubin at Morgan Stanley said the trend benefits discretionary spending and is partly responsible for the surge in popularity of handbags, watches and jewelery. [read post]
11 Dec 2022, 9:23 pm
Maybe the next “big idea” Morgan Stanley likes so much is a national chain of psychedelic clinics. [read post]
8 Dec 2022, 12:07 pm
Now, most of the major brokerage firms like UBS Financial Services, Merrill Lynch, Morgan Stanley, Goldman Sachs, Oppenheimer and others, are all recommending that their customers allocate a portion of their portfolio to alternative investments. [read post]
5 Dec 2022, 4:58 am
There is no single statute of limitations for causes of action alleging breach of fiduciary duty (see IDT Corp. v Morgan Stanley Dean Witter & Co., 12 NY3d 132, 139; Matter of Hersh, 198 AD3d [*2]766, 769). [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]
