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20 Jul 2015, 4:58 pm
.; Morgan Stanley; State Street Corporation; and Wells Fargo & Company…Like the proposal issued in December 2014, the final rule requires GSIBs to calculate their surcharges under two methods and use the higher of the two surcharges. [read post]
23 Sep 2010, 4:01 pm
Hansel Clarence Cua Lee, formerly with Morgan Stanley & Co. and also Banc of America Securities was named as a respondent in a FINRA complaint alleging that he misappropriated customer funds by depositing the proceeds from customer securities sales in a checking account he opened in the customer's name without the customer's consent or knowledge. [read post]
25 Dec 2015, 4:27 pm
Between June 2009 and June 2014, Gioffre was associated with Morgan Stanley. [read post]
15 Nov 2017, 6:21 pm
Thereafter, from 2000 to 2004, Camarco became registered with Morgan Stanley DW Inc. [read post]
26 Apr 2012, 9:00 pm
Wednesday saw a significant FCPA and investment adviser fraud case against a former Morgan Stanley executive, who settled the matter. [read post]
29 Dec 2009, 8:37 am
Whether it's travel security or corporate governance, all of the regulations in the world are worth less than the paper they're printed on if the people who have to execute them, day-to-day, have no accountability for performing them correctly.That's why--and no, this is not a non-sequitur--I'm so pleased that Morgan Stanley's going to include clawbacks in the salary provisions for its top executives (see here). [read post]
8 Aug 2007, 1:23 am
Morgan Stanley Dean Witter & Co. [read post]
23 Jan 2015, 6:56 am
According to Casson’s BrokerCheck records, the advisor was registered with Morgan Stanley Smith Barney from June 2010, until August 2011. [read post]
31 Oct 2011, 3:09 pm
Morgan Stanley predicts a multi-billion dollar surge in rental revenues as a result of the current foreclosure situation. [read post]
2 Feb 2010, 1:41 pm
"We have to conclude that that program was not successful," she said of the “Consolidated Supervised Entities program” that was supposed to oversee industry giants Goldman Sachs Morgan Stanley, Lehman Brothers, Merrill Lynch and Bear Stearns. [read post]
6 Aug 2013, 8:26 am
According to reports, Morgan Stanley Smith Barney recommended that its financial advisors pull client money out of Paulson’s Advantage and Advantage Plus funds in December 2012, likely because the firm was concerned with the level of risk to which their clients were being exposed. [read post]
20 May 2010, 4:05 pm
The 3-year-old litigation, brought by Barclays Capital, Merrill Lynch, Morgan Stanley and others, was premised on the so-called “hot news” doctrine the Supreme Court first recognized in a 1918 case concerning the unauthorized and immediate republication of wire service reports. [read post]
18 Feb 2011, 9:52 am
The round includes big institutional investors Morgan Stanley, T. [read post]
6 Aug 2013, 8:34 am
According to reports, Morgan Stanley Smith Barney recommended that its financial advisors pull client money out of Paulson’s Advantage and Advantage Plus funds in December 2012, potentially because the firm became concerned with the level of risk to which their clients were being exposed. [read post]
27 Dec 2017, 12:32 pm
Fackrell was previously registered with Morgan Stanley in Winston-Salem, North Carolina from August 2007 until February 2008, SunTrust Investment Services in Yadkinville, North Carolina from July 2008 until December 2009, Wells Fargo in High Point, North Carolina from December 2009 until June 2010 and LPL in Yadkinville from June 2010 until December 2014. [read post]
25 Apr 2007, 1:45 pm
Note that "banks" includes "investment bankers" such as Merrill Lynch, Morgan Stanley, Smith Barney, etc. [read post]
29 Jun 2019, 1:13 pm
Previous to Spire, Churchville, with 16 years in the industry, was a registered broker with Morgan Stanley (MS), Wachovia Securities, UBS Painewebber, and Oppenheimer and Co. [read post]
17 Nov 2009, 3:05 pm
Just look how Vanity Fair has scored huge every month with one strong financial story after another (Madoff, Fairfield Greenwich, Marc Dreier, Goldman Sachs and Morgan Stanley survival, etc.). [read post]
18 Mar 2010, 9:58 am
The backstory goes like this: In 2003, the SEC reached a settlement with 12 Wall Street firms, a group that includes Goldman Sachs, Morgan Stanley, and Merrill Lynch, which is now part of Bank of America. [read post]
8 Sep 2011, 8:22 am
Our office is located in Broward County, in the Morgan Stanley building, at 2825 N University Dr, Suite 350, Coral Springs, Florida 33065. [read post]
