Search for: "Morgan Stanley "
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27 Aug 2007, 9:53 am
Morgan Stanley and UBS v. [read post]
8 Jun 2012, 11:00 am
” The article featured the results of a new survey by Campden Wealth and Morgan Stanley Private Wealth Management. [read post]
6 Jun 2008, 4:07 pm
Morgan Stanley and Merrill Lynch & Co. have also received capital from Gulf State sovereign wealth funds. [read post]
15 Nov 2018, 4:00 am
(GS), Deutsche Bank AG (DB), Morgan Stanley (MS), and JPMorgan Case & Co. [read post]
1 May 2010, 12:39 pm
William Frederick Nord, formerly with Morgan Stanley in Newport Beach, California, was fined $2,500 and suspended from association with any FINRA member in any capacity for 10 business days for settling a customer's complaint by paying the customer and agreeing to lower commission rates on the customer's future stock purchases without his member firm's knowledge or approval. [read post]
7 Apr 2011, 7:18 am
In 2000, he left to become a managing director at Morgan Stanley in London, then rejoined Davis Polk in 2003. [read post]
11 Jun 2012, 11:55 am
To me the deeper problem with the IPO was that it was fundamentally mispriced, and that Morgan Stanley let Facebook investors flood the market by upping the IPO size at the last minute. [read post]
21 Jul 2010, 4:42 am
In 2007 and 2008, investment firms like UBS, Morgan Stanley, Citigroup, Merrill Lynch and others sold billions of dollars in various series of preferred stock issued by the two mortgage giants. [read post]
13 Jul 2019, 8:00 am
Morgan Stanley), the plaintiff signed an offer letter referencing the arbitration agreement, which provided that discrimination, harassment and retaliation claims shall be governed by the Federal Arbitration Act (FAA). [read post]
25 Mar 2010, 3:19 pm
The WSJ piece goes on to quote James Caron of Morgan Stanley as saying, “The weightiness of supply [of treasuries] finally broke the camel’s back. [read post]
21 Sep 2009, 2:23 pm
The 10 companies with the biggest decreases in brand value were UBS (50%), Citi (49%), Harley-Davidson (43%), American Express (32%), Morgan Stanley (26%), HSBC (20%), Starbucks (16%), Sony (12%), Dell (12%) and Lexus (12%). [read post]
14 Nov 2019, 3:14 pm
Janney took the position that Braunstein violated both the Protocol for Broker Recruiting (“the Protocol”) and the Lexington Avenue Team Agreement, arguing that Braunstein was allowed to take only a limited list of legacy clients he brought over from Morgan Stanley and clients he introduced to the Lexington Avenue Team while at Janney. [read post]
21 Jun 2011, 7:29 am
Banks such as Barclays, Morgan Stanley and Bank of America sued the Theflyonthewall.com, claiming that the financial news website had misappropriated the firms’ research; the banks contended that publishing rating changes was on par with stealing intellectual property, according to Dow Jones. [read post]
14 Jul 2009, 7:15 pm
We don't follow So, a teenager intern at Morgan Stanley wrote a report categorically stating that teens don’t do Twitter, and you could hear thousands of social media hype-meisters screaming bloody murder. [read post]
13 Sep 2012, 9:30 pm
Reportedly, Morgan Stanley and UBS Investment Bank have been hired by Cole Credit Property Trust II to explore their options for the exit event. [read post]
16 Jun 2016, 10:26 am
According to his FINRA BrokerCheck, DiVenuto was registered with Morgan Stanley from 06/2009 – 03/2013 and Concept Capital Markets from 04/2013 – 04/2015. [read post]
9 Oct 2015, 8:02 am
He was also previously registered with Morgan Stanley Smith Barney, according to industry records. [read post]
1 Aug 2016, 6:38 am
In other words, the risk that the largest institutions pose is that idiosyncratic shocks to any large individual player in an economy is hardly diversifiable, due to their sheer size (Gabaix, Gopikrishnan, Plerou, and Stanley, 2006; Gabaix, 2011). [read post]
13 May 2010, 8:16 am
Here's is the lead, front page article in the New York Times today, about a new investigation started by New York attorney general Andrew Cuomo againt Goldman Sachs, Morgan Stanley, UBS, Citigroup, Credit Suisse, Deutsche Bank, Crédit Agricole and Merrill Lynch, which is owned by Bank of America, "to determine whether they provided misleading information to rating agencies in order to inflate the grades of certain mortgage securities. [read post]
7 May 2010, 11:24 am
On the latter issue, three other banks - Bank of America, Citigroup and Morgan Stanley – have, in fact, split the chairman and CEO roles. [read post]
