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7 Sep 2011, 2:06 pm
NBC Universal's majority owner, Comcast, is hiring one of its longtime advisers, a top Morgan Stanley media banker. [read post]
10 May 2023, 11:19 am
Origination of the Matter This case originated from FINRA’s review of the Form U5 (Uniform Termination Notice for Securities Industry Registration) that was filed by Morgan Stanley after it terminated Mr. [read post]
24 Oct 2008, 4:11 pm
For readers who don't know Stanley, here's the introductory blurb: Asiabizblog kicks off a new season of podcasts with an interview of Stanley Lubman, China law scholar... [read post]
16 Sep 2024, 2:32 am
In a recent decision by the Louisiana Court of Appeal, Third Circuit, the court affirmed a trial court’s judgment granting summary judgment in favor of Stanley Access Technologies LLC (Stanley) in a personal injury case brought by Vera Bernard. [read post]
30 Dec 2013, 9:00 am
Morgan Stanley v. [read post]
Broker Ken Kavanagh Of Morgan Stanley Suspended, Fined For Not Disclosing Business Managing Athletes
6 Jan 2020, 8:30 am
After allegations “regarding the representative’s involvement in the provision of services to clients outside the scope of the firm’s services”, Kavanagh voluntarily resigned from Morgan Stanley Wealth Management. [read post]
8 May 2012, 6:43 pm
Morgan Stanley, led by its technology investment banking chief, Michael Grimes, has shepherded 28 technology initial public offerings in the past year. [read post]
19 Oct 2011, 4:29 am
Morgan Stanley, buoyed by solid performances in all its core divisions and a one-time accounting gain, rebounded from a loss of $91 million a year earlier. [read post]
27 Feb 2018, 1:37 pm
FINRA arbitration claims filed during Velez’s tenure at Morgan Stanley are still open, with the most recent involving “unsuitability with respect to Puerto Rico investments,” from 2013 to 2017, among other things (“inter alia. [read post]
21 Nov 2016, 3:28 pm
According to On Wall Street after overhauling its recruiting deals in light of new regulatory guidance on the fiduciary rule, Morgan Stanley is again tweaking its transition package for elite brokers.The wirehouse is sweetening the deal for advisers in the top quintile, offering up to 175% of a broker's 12-month trailing production to move, according to two people familiar with the matter.However, there is no back end - because of the fiduciary rule.Morgan… [read post]
20 Sep 2022, 11:02 am
Further, over several years, Morgan Stanley allegedly failed to properly monitor the moving company’s work, according to the SEC. [read post]
17 May 2021, 2:23 pm
FINRA’s investigation originated after Morgan Stanley discharged Mr. [read post]
8 Jan 2013, 8:02 am
The key issue in the case was Morgan Stanley’s own procedures for handling such matters which Torretta alleged were not followed. [read post]
8 May 2012, 6:00 am
More importantly, it is counsel’s ethical and professional obligation to advance those very positions. [read post]
3 Jan 2022, 11:43 am
The first incident involved Morgan Stanley’s decommissioning of two wealth management data centers. [read post]
23 Feb 2022, 2:03 pm
The post It Has Stopped Being A Good Thing To Be Friends With Morgan Stanley’s Block Trading Head appeared first on Above the Law. [read post]
8 Nov 2020, 3:58 am
Stanley Black & Decker’s departure is being spun as further evidencing “Shenzhen’s transition from a manufacturing base, which relies mainly on relatively cheap land and labour, to a technology hub – i.e. [read post]
6 Dec 2011, 7:00 am
This video is posted in compliance with the TEDTalk’s Creative Commons license [read post]
29 Jan 2008, 9:29 am
For a reality check, we would direct you to a brief but illuminating nugget that appeared in Morgan Stanley’s year-end financial results, which it filed Tuesday with regulators. [read post]
29 Nov 2007, 3:44 pm
Morgan Stanley said Thursday that Zoe Cruz, a co-president and one of the highest-ranking women on Wall Street, would leave the investment bank in the latest management shakeup since the summer's credit turmoil. [read post]
