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13 May 2014, 7:38 am
Broker dealers, such as Morgan Stanley, UBS and Merrill Lynch, have a fiduciary duty to monitor all the business activities and transactions of their employees. [read post]
14 May 2012, 3:53 pm
According to Morgan Stanley Managing Director David Greenlaw, approximately 99 percent of all SSDI recipients collect benefits until they reach retirement age. [read post]
6 Sep 2012, 10:55 am
" But Morgan Stanley appeared so delirious over having hooked the IPO of the decade that it forgot its role in the IPO: it was supposed to be the grownup. [read post]
1 Apr 2009, 11:26 am
The Forbes article recounts a 2007 class action settlement, where female employees at Morgan Stanley were given the opportunity to opt-in: Alice Hughes, a Morgan Stanley financial adviser in Dallas, talked with several women who declined to participate–and not because they planned to pursue separate claims. [read post]
19 Sep 2008, 11:12 am
(We should note that the two financial institutions Cohen and his partners advised on those foreign investments - Citi and Morgan Stanley - have thus far survived the credit crunch intact, but who can predict what tomorrow will bring?) [read post]
8 Feb 2008, 6:41 am
Assuming you are in this position, every startup I know says, "Let's go get Goldman or Morgan Stanley. [read post]
26 Jan 2016, 6:05 am
In addition to Wells Fargo and Morgan Stanley, FINRA reports that Mr. [read post]
12 Jun 2023, 8:38 am
Following the attacks, Richard led a massive evacuation of Morgan Stanley’s 2,700-person workforce located in the South Tower. [read post]
24 Feb 2011, 12:57 pm
Flom worked on the takeover with Morgan Stanley. [read post]
6 Oct 2010, 5:00 am
In February of 2009 Morgan Stanley’s real estate group reported an employee based in China in an overseas real estate subsidiary that appeared to have violated the Foreign Corrupt Practices Act. [read post]
19 Aug 2015, 11:50 am
Gans was also discharged from his prior employer Morgan Stanley Dean Witter in 2000 for also violating that firm’s policies and procedures, that time for mailing correspondence without prior approval. [read post]
26 Nov 2019, 7:33 am
According to FINRA Disciplinary actions for November 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Ainsworth, Richard Southwest Securities, Inc Morgan Stanley Smith Barney Campbell, Charles A.G. [read post]
21 Feb 2008, 5:25 am
Lately I've been prone to the latter, thanks to two events: (a) the sudden appearance of copious amounts of toilet paper at my local Rite Aid after I posted this Rite Aid rant at Footnoted, and (b) a front-page Wall Street Journal story on an oddball phenomenon I'd already written about, which inspired the self-aggrandizing thought that an esteemed publication had shoplifted my idea.Continuing in this vein, here are two more examples of Proxyland's awesome influence:Example #1: Not… [read post]
15 Dec 2014, 9:26 am
In total, this is believed to have cost Morgan Stanley roughly $50 million. [read post]
6 Jul 2018, 7:31 am
Morgan Stanley & Co., Inc. [read post]
8 Dec 2011, 7:57 am
Prior to Hawkstone, she was an equity analyst, covering Latin American bank stocks at Morgan Stanley and Fox-Pitt Kelton. [read post]
15 Jun 2015, 8:27 am
Waszolek resigned from UBS after 30 years at the firm and transferred his business to Morgan Stanley Wealth Management. [read post]
19 May 2009, 11:01 am
The broker reported Harmon's behavior to Morgan Stanley and to investigators. [read post]
9 Jun 2019, 11:51 am
Another Morgan Stanley Broker Hit for Churning Unit Investment TrustsRegulators continue to ding broker-dealers for failing to supervise financial advisors trading Unit Investment Trusts. [read post]
13 Dec 2010, 6:54 pm
Many individual borrowers are also turning to the same strategy used by Morgan Stanley, and others, and are seeking solutions to the problems brought in by the unstable real estate market. [read post]
