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22 Oct 2023, 9:01 pm
’”[20] The court found that Morgan Stanley failed to meet its disclosure obligations under Item 303 and that the bank’s omissions were material, but the court ultimately did not find Morgan Stanley liable under Section 10(b) because the plaintiffs had failed to establish a strong inference of scienter.[21] In 2017, the Supreme Court had the opportunity to address this circuit split in Leidos, Inc. v. [read post]
4 May 2007, 10:42 pm
("Morgan Stanley"). [read post]
2 Nov 2009, 2:55 pm
Sierra Pacific Power Co. (1956), as interpreted in Morgan Stanley Capital Group v. [read post]
25 Jul 2008, 7:17 pm
Incorporated/ Morgan Stanley DW Inc., RBC Dain Rauscher Inc., A.G. [read post]
11 Oct 2021, 7:24 am
In 2018 I reported on a high profile case out of Tampa that resulted in a $34 million FINRA arbitration award against Morgan Stanley in favor of the estate of Roy M. [read post]
1 May 2012, 2:00 am
In addition, we cover two decisions from the First Department: one addressing the heightened standard for fraud claims brought by sophisticated investors, and another affirming the dismissal of a Morgan Stanley shareholder derivative suit alleging excessive executive compensation. [read post]
13 May 2008, 10:06 pm
The Clear Channel press release provides that: The banks, the private equity investors, Clear Channel, certain shareholders, and Bank of New York (serving as escrow agent) have entered into an Escrow Agreement pursuant to which the private equity investors and the banks [a bank syndicate consisting of Citigroup, Deutsche Bank, Morgan Stanley, Credit Suisse, Royal Bank of Scotland and Wachovia] have agreed to fund into escrow the total amount of their respective… [read post]
21 Jan 2010, 8:01 am
Indeed, at the party, Zweig joked around that both he and Gillespie, a former investment banker at Lehman Brothers, Morgan Stanley and Bear Stearns, were considered traitors by many of their Harvard B-School classmates. [read post]
13 Mar 2007, 4:28 pm
New Century, a major subprime mortgage lender that does business with HSBC, Morgan Stanley, CitiGroup and Goldman Sachs is on the brink of bankruptcy, has all but been delisted by the NYSE and is being investigated by the SEC. [read post]
30 Sep 2008, 5:00 pm
When Congress passed the Gramm-Leach-Bliley Act, it created a significant regulatory gap by failing to give to the SEC or any agency the authority to regulate large investment bank holding companies, like Goldman Sachs, Morgan Stanley, Merrill Lynch, Lehman Brothers, and Bear Stearns. [read post]
11 Nov 2010, 11:38 am
Morgan Stanley leads the pack, issuing $10.1 billion, the most of any bank, followed by Bank of America Corp., which issued $7.9 billion. [read post]
9 Nov 2011, 6:38 am
” In spite of the prevalence on Wall Street of repeat offenders – Morgan Stanley, JPMorgan Chase and Bank of America among the many – the SEC said in a court filing Monday that it had not brought any contempt charges against large financial firm in the last 10 years. [read post]
5 Oct 2007, 8:34 am
Morgan Stanley and Qualcomm v. [read post]
1 Mar 2011, 5:35 am
In 2007 and 2008, investment firms like UBS, Morgan Stanley, Citigroup, Merrill Lynch and others sold billions of dollars of preferred stock issued by the two mortgage giants. [read post]
13 Oct 2008, 4:50 pm
David Kotz, found that the agency should consider disciplining its director of enforcement, Linda Thomsen (pictured), and two supervisors for their role in handling an insider trading investigation that led to the firing of an SEC lawyer for trying to interview John Mack, currently the CEO of Morgan Stanley. [read post]
23 Feb 2023, 8:35 am
Barclays, Citi, Credit Suisse, Deutsche Bank, Goldman Sachs, Morgan Stanley and UBS all paid $125 million to the SEC and $75 million to the CFTC . [read post]
25 Sep 2008, 4:43 am
(-21%), Morgan Stanley (-16%), and Citigroup (-14%) were among the worst performers. [read post]
7 Dec 2007, 12:21 am
So, Enron, Arthur Anderson, Tyco, Morgan Stanley, and many others were forced to turn over huge amounts of ESI under the glare of the media's spotlight, spawning more investigations and demands for ESI. [read post]
31 Jul 2018, 11:02 am
George was previously registered with Citigroup Global Markets in Williamsville, New York from March 2001 until June 2009, Morgan Stanley in Williamsville from June 2009 until December 2009, and RBC Capital Markets in Williamsville from December 2009 until April 2018. [read post]
29 Sep 2008, 5:23 pm
Two research reports from Morgan Stanley and RBC Capital Markets that came out earlier today which raised concerns about weakened consumer spending. [read post]
