Search for: "Stanley S."
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16 Feb 2007, 4:56 am
LVMH and Morgan Stanley smoked the peace pipe together on Thursday, ending a five-year court battle over the luxury group’s accusation of bias and conflicts of interest in research published by the Wall Street investment bank between 1999 and 2002. [read post]
11 Jul 2019, 12:26 pm
Customer Disputes Involving Morgan Stanley or Barry Garapedian Garapedian’s FINRA BrokerCheck report lists 14 disclosures starting in 1992, all customer disputes. [read post]
22 Nov 2023, 12:46 pm
His clients “do not plan to appeal,” John S. [read post]
11 Jul 2008, 6:06 pm
Judge Grimm's decision in the Victor Stanley case has a chilling effect on lawyers who craft their own key word searches, absent advice from experts who can provide quality assurance and quality control. [read post]
26 Oct 2020, 7:42 am
The Utah Division of Securities notified both Secor and Cetera that the agency began an investigation into Stanley Secor’s activities while with the firm. [read post]
4 Dec 2017, 4:03 pm
On September 25, 2017, the Financial Industry Regulatory Authority (“FINRA”) issued a fine of $3.25 million against Morgan Stanley Smith Barney LLC (“Morgan Stanley”) in connection with the brokerage firm’s alleged failure to supervise its brokers’ short-term trades of unit investment trusts. [read post]
8 Sep 2009, 5:34 pm
Supreme Court's ruling that a justice on West Virginia's highest court must recuse himself from a case involving coal man Hugh Caperton left Bruce Stanley facing a very different bench on Tuesday in his third time before the court. [read post]
30 Sep 2020, 6:09 am
According to the SEC’s order, the structure of Morgan Stanley’s…Read the Full Press ReleaseHave a securities law question? [read post]
3 Mar 2008, 7:18 am
By that rule, Morgan Stanley has hopped onto the hostile bid bandwagon. [read post]
13 Oct 2008, 2:15 pm
Shares of Morgan Stanley bounced back in a big way Monday morning, surging more than 40 percent in early trading after the Wall Street firm announced that its $9 billion investment from Mitsubishi UFJ Financial Group had closed on renegotiated terms. [read post]
7 Sep 2023, 7:14 pm
“The impact (of AI) will be very significant,” potentially comparable to the advent of the internet, said Sal Cucchiara, Morgan Stanley’s chief information officer of wealth and investment management, who is among the executives driving the bank’s push into AI…” [read post]
1 Jun 2009, 7:49 am
The joint venture between Morgan Stanley and Smith Barney closed today, creating a massive brokerage firm with over 18,000 financial advisors and 1,000 branch offices.According to press reports, the joint venture will handle each firm's retail operations, which each firm's institutional business will remain separate, although institutional will execute is orders through the joint venture.What remains to be seen is the effect of the joint venture, if any, on… [read post]
19 Nov 2009, 5:47 am
Mack of Morgan Stanley, that's just fine. [read post]
28 Jan 2020, 7:21 am
Do You Have Investment Loses With Robert Montes or Morgan Stanley? [read post]
11 Nov 2011, 5:40 am
" Morgan Stanley consented to the entry of FINRA's findings without admitting or denying the charges. [read post]
23 Oct 2009, 6:52 am
Her Wikipedia profile ends with this sentence: "As of October 2009, Meeker is a managing director at Morgan Stanley, serving as leader of the investment bank's global technology research team. [read post]
4 Jun 2023, 7:29 am
A FINRA arbitration panel demanded Morgan Stanley pay more than $150,000 to a Mississippi woman who claimed the brokerage firm wrongfully let her be removed as the beneficiary of her de facto mother's investment accounts, a change made while the older woman was suffering from dementia. [read post]
9 Mar 2015, 7:35 am
U.S. authorities are investigating whether a hacker is behind the online publication of a cache of Morgan Stanley's client data and not the financial adviser who was fired in connection with the breach, according to CNN and The Wall Street JournalFor more information, go to Morgan Stanley breach probe shifts to hacker from fired employee: WSJ---The attorneys at Sallah Astarita & Cox, LLC include veteran securities litigators and former SEC Enforcement… [read post]
10 Nov 2023, 8:25 am
Morgan Stanley terminated Silva’s employment on 9/8/2022 amid concerns that had had misappropriated client funds. [read post]
8 Jul 2013, 8:31 am
Micro-symposium commentaries will accompany the papers and proceedings of a live roundtable discussion on academic freedom and Stanley Fish’s forthcoming book, Versions of Academic Freedom: From Professionalism to Revolution. [read post]
