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19 Apr 2012, 1:51 pm
Zangari, No. 10-4546, the defendant, a securities broker in the securities lending departments at Morgan Stanley and then Bank of America, received kickbacks in exchange for entering into stock-loan transactions. [read post]
30 Jul 2008, 5:53 pm
Six firms - Merrill Lynch, Citigroup Global Markets, UBS, Wachovia Securities, Morgan Stanley and Charles Schwab - have agreed to participate in the two-year pilot program. [read post]
30 Mar 2010, 10:30 pm
The letter to Bank of America-Merrill Lynch, Barclays, Citigroup, Goldman Sachs, JPMorgan Chase and Morgan Stanley expresses concern that the spreads on the California credit-default swaps are mispricing the state’s credit risk and inflating interest costs. [read post]
3 Jul 2017, 1:52 pm
From June 2008 until February 2014, Lucker was associated with Morgan Stanley. [read post]
5 Nov 2013, 1:56 pm
He then joined Morgan Stanley, where he worked until October 2012 when he was discharged. [read post]
15 Mar 2017, 7:28 am
Wilson was registered with Morgan Stanley in Las Cruces, NM from06/01/2009 – 06/02/2014 prior to working for his current employer, Wells Fargo Advisors. [read post]
3 Oct 2007, 6:05 am
The article focuses on the choice by a recent college graduate to forego law school to become an analyst at Morgan Stanley in New York. [read post]
11 Jan 2021, 1:19 pm
Upon information and belief, financial advisors at Morgan Stanley and other brokerage firms solicited and concentrated customer accounts in Amarin, even while the company was defending its patent on Vascepa in litigation. [read post]
23 Dec 2019, 7:30 am
Bank of America, BNP Paribas, Cantor Fitzgerald, Citigroup, Credit Suisse, HSBC , JPMorgan Chase, Morgan Stanley, Nomura , Societe Generale, Toronto-Dominion and UBS will separately pay a combined $250 million. [read post]
28 Sep 2016, 10:00 am
Walker works with Morgan Stanley’s Global Sports and Entertainment division to lecture young athletes on money management skills. [read post]
19 Jun 2008, 12:15 pm
John Mack, Morgan Stanley, $41.7 million9. [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]
15 May 2012, 10:00 pm
In connection with FINRA’s efforts, UBS Financial Services, Morgan Stanley, Wells Fargo and Citigroup Global Markets Inc. have agreed to pay $7.3 million in fines and $1.8 million in restitution, totaling $9.1 million. [read post]
4 Mar 2007, 10:19 pm
" But what does the big dollar focus on hospitality mean from private equity and celebrities— as we have discussed with such players as Bill Gates and Prince Al Waleed, Blackstone, Morgan Stanley in its acquisition of CNL Hotels & Resorts, Barry Sternlicht on his investments in China and India, as well as his launch of new brands such as the "1" and the Crillon, Paul Allen, Shaquille O'Neal, Donald Trump, Magic Johnson, Andre Agassi and… [read post]
21 May 2007, 1:02 am
Morgan Stanley DW Inc. [read post]
3 Jul 2008, 10:14 pm
Firms such as American Express, Cisco, Deutsche Bank, GE, Goldman Sachs, Morgan Stanley, Sun Microsystems, UBS, and others, have signed up and Axiom's revenue was $39-million 2007 and is "on pace" to be about $66-million this year. [read post]
29 Jan 2009, 5:30 pm
During the last three months of 2008, at least seven other firms receiving bailout funds (American Express, Capital One, Goldman Sachs, KeyCorp, Morgan Stanley, PNC and Bank of New York Mellon) lobbied the government about the bailout. [read post]
2 Jul 2008, 5:16 am
The case is interesting less for its immediate conclusion, than for its description of the generous and creative sentence originally imposed.Collotta pled guilty to insider trading and securities fraud, arising out of her role in using her position in the global compliance division of Morgan Stanley to misappropriate confidential information for use in an insider training scheme. [read post]
9 May 2007, 4:01 pm
Randi, 30, a former Morgan Stanley compliance officer and Christopher, 34, a lawyer in private practice on Long Island, were among 13 people who were criminally charged in the case. [read post]
15 Sep 2010, 9:28 am
John Havens 2009 Total Compensation: $11,276,454 Morgan Stanley Walid Chammah 2009 Total Compensation: $10,021,969 The Goldman Sachs Group Inc. [read post]
