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20 Sep 2022, 12:21 pm
The SEC also alleged that Morgan Stanley lost track of 42 computer servers that potentially contained unencrypted customer data. [read post]
20 Sep 2022, 12:11 pm
Via Matt Levine, I learn of a SEC complaint against MorganStanley Smith Barney (MSSB): The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately 15 million customers. [read post]
20 Sep 2022, 11:02 am
Further, over several years, Morgan Stanley allegedly failed to properly monitor the moving company’s work, according to the SEC. [read post]
20 Sep 2022, 4:05 am
The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately…Read the Full Press ReleaseHave a securities law question? [read post]
19 Sep 2022, 10:10 am
According to the charges, Good, while working for Morgan Stanley in Wilmington, allegedly operated a decade-long Ponzi scheme. [read post]
19 Sep 2022, 4:25 am
In 2016, Gabriel and Holifield sold a controlling interest in XRI to Morgan Stanley. [read post]
17 Sep 2022, 9:15 am
SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman (BrokeAndBroker.com Blog)Area man who claimed to be African prince convicted by jury of several fraud crimes (DOJ Release)Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers (SEC Release)Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering / Crypto Asset Promoter Ian Balina Charged for… [read post]
13 Sep 2022, 8:42 am
Continue Reading › The post Did You Suffer Serious Investment Losses While Working With Former Morgan Stanley Broker Doug McKelvey? [read post]
8 Sep 2022, 11:35 am
According to the article, in May “Musk sent a message to a Morgan Stanley banker…that read ‘it won’t make sense to buy Twitter if we’re heading into World War III. [read post]
7 Sep 2022, 3:11 pm
” Morgan Stanley & Co. [read post]
7 Sep 2022, 12:11 pm
” Sternadel was a registered representative with the following firms during her career: 12/14/2018 – 08/22/2022, AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363), Wichita Falls, TX, 11/23/2015 – 01/10/2019, MORGAN STANLEY (CRD#:149777), WICHITA FALLS, TX 01/24/2011 – 11/24/2015, EDWARD JONES (CRD#:250), WICHITA FALLS, TX Potential Lawsuits to Recover Investment Losses The White Law Group is… [read post]
7 Sep 2022, 9:29 am
It won't make sense to buy Twitter if we're heading into World War III," Musk wrote to Morgan Stanley's head of global technology investment banking, Michael Grimes. [read post]
7 Sep 2022, 6:30 am
” Similarly Morgan Stanley touts its sustainable equity funds as outperforming their traditional peer funds. [read post]
5 Sep 2022, 10:35 am
Banks splash it across their windows, Morgan Stanley staff march behind it in the street. [read post]
2 Sep 2022, 7:46 am
The post Meet The Newest Member Of Morgan Stanley’s Block-Trading Desk appeared first on Above the Law. [read post]
25 Aug 2022, 8:41 am
05/31/2019 – 11/18/2021, AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363), Vienna, VA, 09/11/2015 – 05/20/2019, WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616), ARLINGTON, VA 08/14/2012 – 09/22/2015, MORGAN STANLEY (CRD#:149777), MCLEAN, VA Filing a Complaint against your Brokerage Firm The White Law Group is investigating potential securities claims involving financial advisor James Dunn and the… [read post]
19 Aug 2022, 9:37 am
Morgan Stanley Gretchen Wallace Oppenheimer & Co. [read post]
17 Aug 2022, 5:24 pm
Based on this, the investors active in the biggest funding rounds are Alphabet ($1,506M in 4 rounds), Blackrock ($1,171M in 3 rounds), Morgan Stanley ($1,10M in 2 rounds), Samsung ($979M in 13 rounds), Goldman Sachs ( $698M in 5 rounds, BNY Mellon ($690M in 3 rounds), and PayPal ($650M in 4 rounds). [read post]
17 Aug 2022, 1:21 pm
Thanks to their marketing strategies, Morgan & [read post]
Morgan Stanley Gets Sued by 10 Former Advisors Who Claim The Firm Stiffed Them on Compensation Owned
11 Aug 2022, 10:52 am
In a new arbitration filing, 10 ex-Morgan Stanley brokers in the New York City area raised claims that the firm “improperly deferred” compensation in violation of the Employee Retirement Income Security Act of 1974 (ERISA) and also violated New York state law by withholding those funds when they left, according to Advisorhub.com. [read post]
