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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]
5 Aug 2022, 4:00 am
The GOP Went to War Against Google Over Spam – and May Win MSN – Isaac Stanley-Becker and Josh Dawsey (Washington Post) | Published: 7/29/2022 Many Republican lawmakers contend Google is suppressing the party’s campaign solicitations. [read post]
26 Jul 2022, 12:09 pm
To learn more see: FINRA Sanctions Berthel Fisher & Co. for Unsuitable Options Trading and Morgan Stanley Harvest CYES Investment Losses The post Overview and Risks of an Options Trading Strategy appeared first on The White Law Group. [read post]
22 Jul 2022, 6:30 am
Roe (Harvard Law School), on Monday, July 18, 2022 Tags: Capital allocation, Hedge funds, Investor horizons, Long-Term value, Macroeconomics, Repurchases, Shareholder activism, Short-termism Name That Boon: SEC Proposes Rules on ESG Fund Names & Disclosures Posted by Matt Filosa, William Edwards, and Oliver Parry, Teneo, on Tuesday, July 19, 2022 Tags: Asset management, ESG, Institutional Investors, SEC, SEC… [read post]
22 Jul 2022, 6:30 am
Roe (Harvard Law School), on Monday, July 18, 2022 Tags: Capital allocation, Hedge funds, Investor horizons, Long-Term value, Macroeconomics, Repurchases, Shareholder activism, Short-termism Name That Boon: SEC Proposes Rules on ESG Fund Names & Disclosures Posted by Matt Filosa, William Edwards, and Oliver Parry, Teneo, on Tuesday, July 19, 2022 Tags: Asset management, ESG, Institutional Investors, SEC, SEC… [read post]
20 Jul 2022, 3:15 am
., his first-person takedown of the derivatives business in which he once toiled as a salesperson at Morgan Stanley. [read post]
19 Jul 2022, 6:31 am
Posted by Kian Masters and Li Zhang, Morgan Stanley Investment Management, on Tuesday, July 19, 2022 Editor's Note: Kian Masters is a Senior Associate and Li Zhang is Portfolio Manager and Executive Director in the Global Balanced Risk Control team at Morgan Stanley Investment Management (MSIM). [read post]
19 Jul 2022, 6:31 am
Posted by Kian Masters and Li Zhang, Morgan Stanley Investment Management, on Tuesday, July 19, 2022 Editor's Note: Kian Masters is a Senior Associate and Li Zhang is Portfolio Manager and Executive Director in the Global Balanced Risk Control team at Morgan Stanley Investment Management (MSIM). [read post]
18 Jul 2022, 7:46 am
Morgan Stanley isn’t alone. [read post]
14 Jul 2022, 8:28 am
The post Broker Shawn Good Barred After $4.8M Ponzi Scheme At Morgan Stanley appeared first on Securities Arbitration Lawyers Blog. [read post]
12 Jul 2022, 6:32 am
., sold seven million shares to Morgan Stanley in November 2019, which were then offered to the public. [read post]
11 Jul 2022, 10:52 am
David Karandos was reportedly affiliated with the following FINRA registered firms, among others, during his career in the securities industry: 09/12/2013 – 11/13/2019, DINOSAUR FINANCIAL GROUP, L.L.C (CRD#:104446), Indianapolis, IN, 06/01/2009 – 03/23/2012, MORGAN STANLEY SMITH BARNEY (CRD#:149777), INDIANAPOLIS, IN Potential Lawsuits to Recover Financial Losses The White Law Group is investigating potential… [read post]
5 Jul 2022, 12:24 pm
This office model is still common in the large “wire house” brokerages like Merrill Lynch and Morgan Stanley. [read post]
5 Jul 2022, 9:16 am
Morgan Stanley Smith Barney For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
5 Jul 2022, 8:39 am
Jaime Quintero American Independent Securities Goup, LLC AFA Financial Group, LLC J-waun Smiley Morgan Stanley Charles Schwab & Co., Inc. [read post]
