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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]
1 Jun 2014, 11:56 pm
(from the liquidator’s website) Morgan Stanley sold $US 109 million in Sino-Environment Technology Group Limited convertible bonds. [read post]
28 Nov 2006, 9:37 pm
And I may have spotted one or two other lawyer types, but for the most part, the satellite industry leaders gathered at the inaugural ISCe Satellite Investment Symposium (ISIS NYC '06) at Jones Day today, including executives representing companies like (in random order) Eutelsat, ATCi, GlobeCast, Iridium, Inmarsat, Globalstar, Hughes, Boeing, SES Americom, Sirius, XM, WorldSpace, Loral Skynet and others, along with Wall Street folks from the likes of Morgan Stanley and Bear,… [read post]
25 Dec 2018, 7:23 am
Brooke Haskins has also worked at the following firms: • UBS Securities LLC in San Francisco, California — from April 10, 2003 to March 30, 2007 • Banc of America Securities LLC in New York, New York — from October 2, 2000 to April 4, 2003 • Morgan Stanley & Co., Inc. [read post]
7 Sep 2022, 6:30 am
” Similarly Morgan Stanley touts its sustainable equity funds as outperforming their traditional peer funds. [read post]
12 Jun 2010, 5:01 am
In April, the IRS summoned Morgan Stanley Smith Barney, the Miccosukee tribe’s Miami bank to reveal Cypress’ credit card statements and other records from 2003 to 2005. [read post]
4 Nov 2015, 10:05 pm
You'll find pages done in the style of: Rex Morgan, M.D. [read post]
19 Jan 2019, 11:22 am
Joshua Mischke, who is not currently registered with a brokerage, started his career with Morgan Stanley & Co. [read post]
2 May 2008, 1:03 am
Morgan Stanley Dean Witter & Co. [read post]
5 Apr 2012, 1:05 pm
According to her LinkedIn Profile, Olivarius’s experience includes (emphasis added): Having initially developed corporate finance skills at Morgan Stanley and Goldman Sachs, her legal career includes service as General Counsel, CEO and Director of Scientific Programs of a medical foundation with assets valued at over $100 million (in 1991), and as a legal and strategic financial advisor for Perot Systems and Computer Memories, Inc. [read post]
4 Apr 2011, 1:33 pm
Morgan Stanley, highlighted here, in which the Court of Chancery ordered the production of the report of counsel to the board that explained why the board refused a pre-suit demand to pursue claims against certain officers and directors of the company. [read post]
22 May 2018, 1:32 pm
Case (PDF) HOWEYCOINS, Investor.gov More Blog Posts: Broker Fraud Allegations Lead to Finra Bars for Northwestern, Fortune Financial, and Morgan Stanley Representatives, Stockbroker Fraud Blog, March 24, 2018 Ex-Wells Fargo Broker Barred for Alleged $180K Elder Financial Fraud, Stockbroker Fraud Blog, February 26, 2018 SEC Accuses Broker of Giving Some Customers Preferential IPO Access in Exchange for Over $1M in Kickbacks, Stockbroker Fraud Blog, January 2, 2018 The post… [read post]
17 Aug 2018, 8:15 pm
But by not taking action to stem the bleeding at Lehman Brothers, he eventually found himself forced to take even more dramatic steps to save AIG as well as major financial institutions such as Citigroup, Bank of America, Morgan Stanley, and Goldman Sachs (which, ironically, Hank Paulson once led as CEO). [read post]
21 Feb 2019, 2:04 pm
Once again involving variable rate securities, in that lawsuit Morgan Stanley (MS), Citigroup, JPMorgan Chase, Bank of America, William Blair & Co., Barclays Capital, Fifth Third Bancorp, and BMO Capital Markets Corp. were accused of taking part in a ‘Robo-Resetting” scam that allowed them to mechanically establish rates as a group without considering each bond’s unique traits, investor demand, or the market conditions. [read post]
6 Nov 2023, 11:16 am
, In re Morgan Stanley Smith Barney, and In re Rosenthal Collins Group cases is always of concern to the CFTC. [read post]
12 Mar 2018, 11:44 am
Prior to that, he worked at Morgan Stanley in New York City, until he was terminated in 2011 for “Concerns regarding activity in client accounts. [read post]
5 Feb 2010, 1:17 am
COURT OF APPEALS, SECOND CIRCUITBusiness Law Securities Act, Form N-1A Do Not Require Mutual Funds Disclosure of Information as to Affiliated Broker-Dealers In re Morgan Stanley Information Fund Securities Litigation Subscription Required U.S. [read post]
28 Jan 2013, 6:15 am
., Morgan Stanley and UBS Financial Services Inc., to pay $9.1 million in fines and restitution for selling such funds “without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
25 Jan 2019, 9:48 am
A few months ago, former Morgan Stanley (MS) broker Aaron Parthemer, who had already been barred by FINRA, became the subject of investor fraud complaints brought by former NBA player Udonis Haslem and ex-NFL Player Louis Delmas. [read post]
9 Nov 2020, 2:43 am
The defendants included affiliates of Bank of America Corp, Barclays Plc, Citigroup Inc, Goldman Sachs Group Inc, JPMorgan Chase & Co, Morgan Stanley, Royal Bank of Canada and Wells Fargo & Co. [read post]
