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20 Jul 2007, 6:08 pm
Credit Suisse, Lehman Brothers, Goldman Sachs, Merrill Lynch, Morgan Stanley, and Citigroup expressed concern that the proposed rule "is not workable" because it relegates 10 percent of project debt to an un-guaranteed, deeply subordinated tranche, and, by barring stripping, prevents marketability of the debt instrument. [read post]
26 Jan 2016, 8:07 am
For an eighteen year period, 1998 through 2015, he found that while Wall Street analysts from firms such as Merrill Lynch, Morgan Stanley, and UBS predicted an up year more than 95% of the time, the stock market was up only 73% of the time. [read post]
3 Aug 2009, 8:12 am
Morgan Stanley Smith Barney says its sales of leveraged and inverse ETFs is "under review. [read post]
7 May 2013, 6:34 am
Other defendant banks include Bank of America, Deutsche Bank, UBS, Morgan Stanley, Barclays, BNP Paribas, Credit Suisse and RBS. [read post]
27 Apr 2010, 5:00 am
Only Goldman and Morgan Stanley survived, although both converted to commercial banks. [read post]
16 Mar 2020, 8:45 am
Also, in 2012, FINRA sanctioned Citigroup global markets, LLC, Morgan Stanley and Co LLC; UBS Financial services; and Wells Fargo advisors LLC over more than $9.1million dollars for selling leveraged and inversed ETFs without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
13 Apr 2010, 10:14 pm
The Morgan Stanley web guru notes that users are more willing to pay for content on mobile devices than they are on desktop computers for a number of reasons, but the first of which she listed was: “Easy-to-Use/Secure Payment Systems — embedded systems like carrier billing and iTunes allow real-time payment. [read post]
19 Nov 2011, 5:19 pm
JPMorgan unit fined $1.7M over investment sales, Bloomberg Business Week/AP, November 15, 2011 FINRA Orders Chase to Reimburse Customers $1.9 Million for Unsuitable Sales of UITs and Floating-Rate Loan Funds, FINRA, November 15, 2011 More Blog Posts: Morgan Stanley Faces $1M FINRA Fine for Excessive Markups and Markdowns on Corporate and Municipal Bond Transactions, Institutional Investor Securities Blog, September 17, 2011 Wedbush Ordered By FINRA Panel To Pay $3.5M to Trader… [read post]
29 Sep 2008, 1:53 pm
The defendants in that case include Merrill Lynch, Citigroup, Morgan Stanley, UBS Securities, Wachovia Capital Markets, and four senior executives of Fannie Mae. [read post]
30 Oct 2009, 7:23 am
., Morgan Stanley & Co. [read post]
20 Apr 2007, 11:29 pm
The first votes of the season occurred last week, with "nearly 47 percent of Bank of New York shareholders and 37 percent of Morgan Stanley shareholders support[ing] the proposal. [read post]
28 Sep 2008, 5:10 am
Chairman Cox also described the agency's plans for enhancing SEC oversight of the broker-dealer subsidiaries of bank holding companies regulated by the Federal Reserve, based on the recent Memorandum of Understanding (MOU) between the SEC and the Fed.With the federalization or bank holding company status of the investment banks regulated under the CSE program, that regime simply lost its reason for being.When Congress passed the Gramm-Leach-Bliley Act, it created a significant regulatory gap by… [read post]
27 Nov 2011, 7:48 pm
Brown, about half were prominent investment or securities firms like Morgan Stanley, Fidelity Investments and Bain Capital. [read post]
9 Dec 2016, 7:25 am
From February 2011 until January 2012 Kievman was associated with Morgan Stanley Smith Barney. [read post]
12 Jul 2009, 9:38 am
• Morgan Stanley's head credit strategist expressed serious concerns about the rally in junk bonds issued by companies with heavy debt structures. [read post]
20 Jun 2011, 11:58 am
The 4-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 1918, in a lawsuit over the unauthorized and immediate republication of wire service reports. [read post]
30 Mar 2011, 7:01 am
The independent committee has engaged Morgan Stanley & Co. [read post]
22 Apr 2021, 6:15 am
The broker-dealers who sold GPB, including those at Advisor Group, are not behemoths like Merrill Lynch or Morgan Stanley. [read post]
18 Mar 2008, 11:53 pm
If Daimler and Chrysler, and even Morgan Stanley and Dean Witter have a hard time merging, you can be sure you'll have problems with a China partner. [read post]
20 Apr 2019, 2:01 pm
Garcia has 18 disclosures on his FINRA BrokerCheck Report, has 25 years in the securities industry, and is currently registered with Morgan Stanley in Coral Gable, FL, FINRA states. [read post]
