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22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors Distribution Co… [read post]
21 Oct 2011, 2:03 pm
Inc. until early November 2008. [read post]
10 Mar 2014, 10:55 am
Roberts within 30 days after service of the award, Respondents Citigroup Global Markets, Inc. and Morgan Stanley Smith Barney, LLC are jointly and severally liable for and shall pay the outstanding sum to Claimants and Respondents Citigroup Global Markets, Inc. and Morgan Stanley Smith Barney, LLC shall be subrogated to Claimants’ rights to the extent of payment. [read post]
18 Jul 2008, 4:26 pm
Morgan Stanley UBS AG Freddie Mac Fannie Mae [read post]
4 Apr 2021, 12:00 pm
Moreover, in 2009, Carrick was discharged from Morgan Stanley after working there for five years for altering a journal form and a letter of authorization previously signed by the client. [read post]
10 Oct 2015, 5:24 am
Li previously worked for Raj Rajaratnam’s (Rajaratnam) Galleon Group. [read post]
15 Mar 2013, 5:14 pm
Daphne Keller, Google Inc. [read post]
2 May 2022, 1:51 pm
Jaime Quintero American Independent Securities Group, LLC AFA Financial Group, LLC J-waun Smiley Morgan Stanley Charles Schwab & Co., Inc. [read post]
26 Oct 2023, 8:35 am
Shawn O’Connell Morgan Stanley Merrill Lynch, Pierce ,Fenner & Smith Incorporated Steven Thompson Network 1 Financial Securities Inc. [read post]
1 Jun 2022, 9:16 am
AIG Capital Services, Inc Jun Ouyang Morgan Stanley & Co., LLC Stephen Wenske Edward Jones FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
11 Nov 2022, 9:07 am
Michael Richie Fidelity Brokerage Services LLC Edward Von der Schmidt Morgan Stanley & Co. [read post]
22 Sep 2021, 8:30 am
Micah Judy W&S Brokerage Services, Inc. [read post]
22 Sep 2021, 12:53 pm
Morgan Stanley Jonathan Ward State Farm VP Management Corp. [read post]
23 Sep 2024, 7:32 am
However, eight staff members within the parent company’s headquarters in Japan also exclusively supported the work of this manager. [read post]
22 May 2007, 1:09 am
Morgan Stanley DW Inc. [read post]
20 May 2019, 6:08 am
From June 2009 until July 2012 Hobby was registered with Morgan Stanley. [read post]
3 Dec 2018, 11:27 am
A preliminary $182M settlement has been reached in a benchmark rigging lawsuit between investors and banks Citigroup Inc. [read post]
7 Jul 2008, 6:06 pm
Also indicative of current regulatory crises is the Fed's decision to put its banking examiners on-site at Goldman Sachs Group Inc., Lehman Brothers Holdings Inc., Merrill Lynch & Co. , and Morgan Stanley. [read post]
20 Dec 2010, 8:15 am
This issue of parties destroying or withholding e-discovery was most notably seen in the case, Victor Stanley, Inc. v. [read post]
3 Jan 2011, 7:45 am
On December 21st, Vice Chancellor Laster heard arguments from the parties on the form of order and gave the following guidance from the bench: "What's really driving this, in my mind, is to ensure that stockholders have a sense of the financial advisors' incentives, not only in connection with the current deal ... but also in terms of historical buy-side work that might cause Morgan Stanley or a stockholder to believe that Morgan Stanley had some interest… [read post]