Search for: "Stanley Consultants, Inc. "
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15 May 2012, 10:00 pm
In connection with FINRA’s efforts, UBS Financial Services, Morgan Stanley, Wells Fargo and Citigroup Global Markets Inc. have agreed to pay $7.3 million in fines and $1.8 million in restitution, totaling $9.1 million. [read post]
7 May 2012, 7:09 am
Citigroup Global Markets Inc., Morgan Stanley, UBS Financial Services Inc. and Wells Fargo recently agreed to pay $9.1 million to settle allegations that they sold leveraged and inverse exchange-traded funds to clients who had no business investing in the complex instruments. [read post]
2 May 2012, 6:14 am
("Citigroup"), Morgan Stanley, UBS Financial Services, Inc. [read post]
9 Mar 2012, 12:47 pm
Featuring: Jay Stanley, Senior Policy Analyst, ACLU Speech, Privacy and Technology Project (@jaycstanley); Ashkan Soltani, Independent researcher & consultant focused on privacy, security, & behavioral economics; Declan McCullagh, Chief Political Correspondent, CNET/CBS Interactive; Molly Wood, Executive Editor, CBS Interactive; and Will DeVries, Privacy Counsel, Google Inc. [read post]
6 Mar 2012, 10:47 am
Featuring: Jay Stanley, Senior Policy Analyst, ACLU Speech, Privacy and Technology Project (@jaycstanley); Ashkan Soltani, Independent researcher & consultant focused on privacy, security, & behavioral economics; Declan McCullagh, Chief Political Correspondent, CNET/CBS Interactive; Molly Wood, Executive Editor, CBS Interactive; and Will DeVries, Privacy Counsel, Google Inc. [read post]
17 Feb 2012, 9:19 am
Speakers with be Peter Jaszi, Professor of Law at American University Law School; David Perrot, Research Director at Decisionquest; Stanley Pierre-Louis, Vice President and Associate General Counsel for Intellectual Property and Content Protection at Viacom Inc.; and Mozelle Thompson, former Commissioner of the Federal Trade Commission and CEO of Thompson Strategic Consulting. [read post]
15 Feb 2012, 7:42 am
He also provides consulting services on corporate therapeutics and ethics guidelines. [read post]
10 Feb 2012, 1:25 pm
Inc. and its subsidiary Morgan Stanley Smith Barney LLC were fined $1 million by FINRA for excessive markups and markdowns in corporate and municipal bond transactions. [read post]
16 Jan 2012, 4:42 pm
Jo Ann Marie Head, formerly with Morgan Stanley Smith Barney in Whittier, California, was barred from association with any FINRA member and ordered to pay restitution to a customer in the amount of $19,000, which represented a loan granted Head by a customer. [read post]
6 Dec 2011, 4:46 pm
Additionally, MSHA issued two contributory and two non-contributory violations to David Stanley Consulting LLC — a contractor that supplied examiners and other miners to work at UBB — for its examiner's failure to properly conduct examinations. [read post]
30 Nov 2011, 2:15 pm
JP Morgan Chase went from A+ to A; Goldman Sachs, Bank of America, Morgan Stanley and Citigroup were downgraded from A to A-; and Wells Fargo was cut from AA- to A+. [read post]
30 Nov 2011, 5:21 am
Capital Gains Research Bureau, Inc., 375 U.S. 180, 191, 194 (1963). [read post]
29 Nov 2011, 8:14 am
(WFC), Goldman Sachs Group Inc. and Morgan Stanley (MS) — had $50 billion in risk tied to the GIIPS. [read post]
19 Nov 2011, 7:14 am
From 1996 to 2007, it charged The Malaysia Fund Inc. about $1.845 million pursuant to a research and advisory agreement with AMMB Consultant Sendirian Berhad. [read post]
17 Nov 2011, 1:44 pm
Morgan Stanley Mortgage Capital Inc. [read post]
11 Nov 2011, 10:03 am
If you have been the victim of unfair pricing you should consult with an attorney. [read post]
31 Oct 2011, 5:40 am
Stanley and Chappell v. [read post]
26 Oct 2011, 7:02 am
Richard Shepherd – Former Vice-President and General Counsel for Saxon Mortgage (now Morgan Stanley) Margery Golant – Former Assistant General Counsel at Ocwen Financial Corporation and Department Manager of a major plaintiff? [read post]
21 Oct 2011, 2:03 pm
Inc. until early November 2008. [read post]
13 Oct 2011, 7:39 pm
Rajaratnam would obtain illegal tips from bankers, executives, traders, consultants, and directors of public companies (Goldman Sachs is one). [read post]
