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28 Nov 2011, 1:22 pm
Concerned that Fly was undermining their usefulness to their clients, Barclays Capital, Merrill Lynch and Morgan Stanley for Federal copyright infringement. [read post]
28 Nov 2011, 9:26 am
Morgan Stanley just agreed to pay $3.3 million for its role facilitating over $1.8 million in payments by a mutual fund to a third party for services the fund did not receive (“Morgan Stanley Settles SEC Case,” Wall Street Journal). [read post]
27 Nov 2011, 7:48 pm
Brown, about half were prominent investment or securities firms like Morgan Stanley, Fidelity Investments and Bain Capital. [read post]
26 Nov 2011, 7:08 pm
In 30-Year Race, Bonds Beat Stocks, Bloomberg, October 31, 2011 More Blog Posts: Wells Investment Securities Agrees to $300,000 Fine by FINRA for Alleged Use of Misleading Marketing Materials for REIT Offerings,Institutional Investor Securities Blog, November 23, 2011 Morgan Stanley Faces $1M FINRA Fine for Excessive Markups and Markdowns on Corporate and Municipal Bond Transactions, Institutional Investor Securities Blog, September 17, 2011 Former Texan and First Capital… [read post]
23 Nov 2011, 9:16 pm
Finra Fines Wells Investment Securities For Alleged Misleading Marketing Materials, The Wall Street Journal, November 22, 2011 Public Non-Traded REITs—Perform a Careful Review Before Investing, FINRA More Blog Posts: Chase Investment Services Corporation Ordered by FINRA to Pay Back $1.9M for Unsuitable Sales of Floating-Rate Loan Funds and UITs, Institutional Investor Securities Blog, November 19, 2011 Morgan Stanley Faces $1M FINRA Fine for Excessive Markups and… [read post]
23 Nov 2011, 3:32 pm
As of October of 2011, as a result of the “bailouts,” Goldman Sachs still owes U.S. taxpayers $12.9 billion, JPMorgan Chase owes us $32 billion, Morgan Stanley owes us $25.5 billion, and Bank of America owes us $19.7 billion. [read post]
22 Nov 2011, 7:13 am
In the second courtroom presentation graphic (below), we used tall stacks of paper to indicate that out of 8,000 pages, there were only 13 unique emails and attachments.In the third courtroom presentation trial graphic (below), we created a schematic of a pro football stadium to show that if compared with the whole universe of documents, the ones that relate to Morgan Stanley was only the equivalent of 114 spectators in the whole stadium. [read post]
19 Nov 2011, 5:19 pm
JPMorgan unit fined $1.7M over investment sales, Bloomberg Business Week/AP, November 15, 2011 FINRA Orders Chase to Reimburse Customers $1.9 Million for Unsuitable Sales of UITs and Floating-Rate Loan Funds, FINRA, November 15, 2011 More Blog Posts: Morgan Stanley Faces $1M FINRA Fine for Excessive Markups and Markdowns on Corporate and Municipal Bond Transactions, Institutional Investor Securities Blog, September 17, 2011 Wedbush Ordered By FINRA Panel To Pay $3.5M to Trader… [read post]
19 Nov 2011, 7:14 am
Morgan Stanley Investment Management is a wholly owned subsidiary of Morgan Stanley. [read post]
18 Nov 2011, 2:17 pm
Written by Jay Gould On Wednesday, November 16, 2011, the SEC charged Morgan Stanley Investment Management (“MSIM”) with violating securities laws in a fee arrangement that costs a fund and its investors approximately $1.8 million in sub-adviser fees. [read post]
18 Nov 2011, 10:40 am
Joseph Skowron had pleaded guilty to avoiding $30 million in trading losses for his Morgan Stanley-owned hedge fund, FrontPoint Partners, by bribing a French doctor to leak him confidential results about clinical drug trials. [read post]
18 Nov 2011, 9:00 am
The SEC charged Morgan Stanley Investment Management (MSIM) with violating securities laws. [read post]
18 Nov 2011, 8:04 am
In the Morgan Stanley case – Dandong et al. vs. [read post]
17 Nov 2011, 5:26 pm
Background: The Malaysia Fund is a closed-end company belonging to Morgan Stanley’s funds complex. [read post]
17 Nov 2011, 1:44 pm
Morgan Stanley Mortgage Capital Inc. [read post]
17 Nov 2011, 12:17 pm
The plaintiffs – a group of Singapore retail investors – allege that Morgan Stanley committed fraud in selling them sold them $154.7 million of Pinnacle Notes. [read post]
16 Nov 2011, 11:06 am
A division of Morgan Stanley has agreed to pay more than $3.3 million to settle a Securities and Exchange Commission investigation that found a firm fund that invested in Malaysian stocks charged investors for third-party services those investors never received. [read post]
16 Nov 2011, 10:36 am
The SEC charged Morgan Stanley Investment Management (MSIM) with violating securities laws in a fee arrangement that repeatedly charged a fund and its investors for advisory services they weren’t actually receiving from a third party. [read post]
15 Nov 2011, 8:20 pm
The list contains some of the biggest names on Wall Street: American International Group, Ameriprise, Bank of America, Bear Stearns, Credit Suisse, Goldman Sachs, JP Morgan Chase, Merrill Lynch, Morgan Stanley, Putnam Investments, Raymond James, RBC Dain Rauscher, UBS and Wells Fargo. [read post]
15 Nov 2011, 7:33 pm
Saying the recently arrested protesters had just the right kind of tenacity and pluck needed to shake up the financial services industry, magnanimous and benevolent Morgan Stanley banker Hank Billings approached members of the Occupy Wall Street movement Tuesday morning and hired each and every one of them on the spot. [read post]
