Search for: "Morgan Stanley & Co., Inc."
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10 Dec 2014, 4:48 pm
Eight U.S. firms would currently be identified as GSIBs under the proposal: Bank of America Corporation, The Bank of New York Mellon Corporation, Citigroup Inc., The Goldman Sachs Group, Inc., JPMorgan Chase & Co., Morgan Stanley, State Street Corporation, and Wells Fargo & Company…The proposal builds on a GSIB capital surcharge framework agreed to by the Basel Committee on Banking Supervision (BCBS), augmented to address risks to U.S.… [read post]
20 Nov 2014, 7:46 am
Morgan Stanley & Co., Inc., No. 13-2095 (2d Cir. [read post]
2 Oct 2014, 6:28 am
Shannon co-founded AAI or Aerobat Aviation, Inc., a start-up company that was to design and produce unmanned aerial vehicles. [read post]
17 Sep 2014, 9:31 am
See In re Morgan Stanley & Co., 293 S.W.3d 182, 190 (Tex.2009) (orig.proceeding) (Brister, J., concurring) (stating that breach of fiduciary duty, negligence, and malpractice claims were based on client’s contract with broker). [read post]
8 Sep 2014, 5:50 am
Morgan Stanley, 313 F.3d 305 (5th Cir. 2002). [read post]
26 Aug 2014, 10:13 am
LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLCAdministrative Proceeding File No. [read post]
22 Aug 2014, 10:06 am
On August 15, 2014, a three (3) member Financial Industry Regulatory Authority (“FINRA”) arbitration panel found Morgan Stanley & Co., Inc. [read post]
22 Aug 2014, 6:20 am
Morgan Stanley Dean Witter, 337 N.J. [read post]
18 Aug 2014, 7:01 am
Morgan Stanley & Co. [read post]
3 Jul 2014, 7:10 pm
They are: Bank of America Corporation, Bank of New York Mellon Corporation, Barclays PLC, Citigroup Inc., Credit Suisse Group AG, Deutsche Bank AG, Goldman Sachs Group, HSBC Holdings plc, JPMorgan Chase & Co., Morgan Stanley, State Street Corporation, UBS AG, and Wells Fargo & Company. [read post]
10 Jun 2014, 11:27 am
Morgan Stanley & Co. [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 interest. [read post]
1 Apr 2014, 3:16 pm
According to the FBI, Eydelman was a long-time employee for Oppenheimer & Co. at the time that he became entangled with Metro’s scheming, and he continued in his shady pursuits after making a move to Morgan Stanley. [read post]
10 Mar 2014, 10:55 am
Morgan Securities, Inc. [read post]
5 Mar 2014, 12:22 pm
Morgan Stanley & Co., Case No. 1:13-cv-03299-AT (S.D.N.Y. [read post]
25 Jan 2014, 9:46 am
The supervisory guidance is applicable to eight domestic bank holding companies–Bank of America Corporation; Bank of New York Mellon Corporation, PLC; Citigroup Inc.; Goldman Sachs Group, Inc.; JPMorgan Chase & Co.; Morgan Stanley; State Street Corporation; and Wells Fargo & Company. [read post]
15 Jan 2014, 2:22 pm
Of the more than $1 million to be paid, $550,000 comes in the form of a fine to be split by Stifel, Nicolaus & Co., Inc. and Century Securities Associates Inc. [read post]
15 Jan 2014, 12:11 am
The banks that have been identified or made announcements regarding Forex regulatory investigations to date include: Barclays, Citigroup, Inc., Credit Suisse AG, Deutsche Bank, Goldman Sachs Group, HSBC, JP Morgan Chase & Co., Morgan Stanley, Royal Bank of Scotland, Standard Chartered and UBS. [read post]
19 Dec 2013, 3:02 pm
Boleancu was Vice President, Senior Financial Consultant in the Wealth Management Group of Wells Fargo Advisors, LLC and, before that, a Vice President, Financial Advisor with Morgan Stanley & Co., Inc. [read post]
24 Jul 2013, 5:35 pm
Inc. [read post]
