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5 Feb 2019, 5:55 pm
These types of bonds are issued by many pension funds to cover pension shortfalls and are commonly known as Pension Obligation Bonds, or POBs. [read post]
11 Aug 2022, 9:05 pm
Except for certain covered bond transactions, bankruptcy-remote structuring is implemented primarily by contract. [read post]
27 Apr 2020, 4:33 am
Other defendants include Barclays, Citigroup, Credit Suisse, Deutsche Bank, Goldman Sachs, Morgan Stanley, Royal Bank of Scotland and Wells Fargo & Co, or their respective affiliates. [read post]
19 Nov 2011, 5:19 pm
While junk bonds can make greater returns for investors than investment-grade bonds, they also come with a high degree of risk. [read post]
17 May 2018, 12:45 pm
Among the customers that were harmed: Citigroup Global Markets (C), Barclays Capital (BARC), Goldman Sachs (GS) Asset Management, Merrill Lynch Wealth Management, Morgan Stanley (MS), and others. [read post]
29 Mar 2011, 7:21 pm
School Dist. v Moody’s, 175 F3d 848.), or by investors who suffered losses after their highly rated securities failed (Abu Dhabi Commercial Bank v Morgan Stanley & Co., Inc. 651 F. [read post]
30 Oct 2018, 7:40 am
Clients of Morgan Stanley and Bank of America have borrowed more than $40 billion against their portfolios. [read post]
10 Jan 2023, 7:39 am
As we reported, the firm and reps were charged with recommending and selling high-risk GWG L Bonds to retail customers without a reasonable basis to believe the bonds were in their “customers’ best interests. [read post]
16 Jul 2008, 9:25 pm
Incorporated/ Morgan Stanley DW Inc., RBC Dain Rauscher Inc., A.G. [read post]
3 Mar 2014, 9:12 am
Her bond was set at $5,806—an exorbitant sum that just so happened to be the full amount of the debt she owed plus interest. [read post]
20 Sep 2020, 1:57 am
According to the AWC, Morgan Stanley allegedly failed to reasonably supervise a registered representative who recommended short term trades of corporate bonds and preferred securities in the accounts of ten customers in violation of NASD Rule 3010, FINRA Rule 3110 and FINRA Rule 2010. [read post]
20 Sep 2020, 1:57 am
According to the AWC, Morgan Stanley allegedly failed to reasonably supervise a registered representative who recommended short term trades of corporate bonds and preferred securities in the accounts of ten customers in violation of NASD Rule 3010, FINRA Rule 3110 and FINRA Rule 2010. [read post]
27 Oct 2010, 10:06 am
Ultimately, Judge Hittner appointed Robert Scardino and his partner, James Bond impersonator Ali Fazel, two excellent experienced (33 years and 11 years, respectively) Houston criminal defense lawyers. [read post]
12 Jan 2010, 2:24 pm
Morgan Stanley recently decided to stop making payments on five San Francisco office buildings. [read post]
1 Oct 2022, 8:14 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Good was employed by Morgan Stanley Smith Barney, LLC (Morgan Stanley) at the time of the activity. [read post]
23 Jul 2019, 11:55 am
In sum, Beatriz Vida has 8 Pending Customer Disputes on her FINRA BrokerCheck Report, and has been registered with Morgan Stanley in Washington, D.C. since May 5, 2014, FINRA reports. [read post]
27 Dec 2015, 6:23 am
That bond traded recently at about 30 cents on the dollar. [read post]
16 May 2018, 12:40 pm
Prosecutors contend that the three men took part in a scam to misappropriate bond proceeds from securities issued by the Wakpamni Lake Community Corporation and to use money in asset management firm clients’ accounts to buy the bonds. [read post]
19 Sep 2008, 6:30 pm
This should not be about Morgan Stanley, it should be about the country. [read post]
23 Sep 2010, 4:01 pm
According to FINRA, because the corporate bonds were readily available and involved large transactions of higher priced securities, a percentage rate of less than 3 percent was appropriate. [read post]
