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13 Feb 2011, 7:00 pm
Kindred has obtained financing commitments from JPMorgan Chase, Morgan Stanley and Citigroup Global Markets in connection with the pending transaction and expects to have in place $1.9 billion of long term financing, of which an estimated $1.6 billion will be in place at closing. [read post]
4 Dec 2020, 1:23 pm
Joseph Stone Capital, LLC Riza Hernandez Lincoln Financial Securities Corporation Wells Fargo Advisors, LLC Donald Padilla National Securities Corporation National Asset Management Jon Sanchez Independent Financial Group LLC Morgan Stanley Joseph Shimko, Jr. [read post]
26 Oct 2010, 8:04 am
Gabriella went on to work for Morgan Stanley in private wealth management. [read post]
24 Feb 2022, 2:29 pm
According to his FINRA Broker report, Dunn was reportedly affiliated with the following firms during his 9 year career in the securities industry.05/31/2019 – 11/18/2021, AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363), Vienna, VA,09/11/2015 – 05/20/2019,WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616), ARLINGTON, VA08/14/2012 – 09/22/2015, MORGAN STANLEY (CRD#:149777), MCLEAN, VA Dunn reportedly voluntarily resigned from Ameriprise on October 19, 2021.… [read post]
13 May 2021, 2:35 pm
Scott Silver and James Sallah frequently collaborate on cases and recently represented an SEC whistleblower who received a $1.8 million award for reporting misconduct at Morgan Stanley and Citigroup that caused investors to suffer losses. [read post]
15 Sep 2015, 6:30 am
Hornyak entered the securities industry in 1998 with Morgan Stanley. [read post]
16 Feb 2009, 12:54 pm
., Morgan Stanley, and Bank of America Corp. have all extended non-eviction policies originally put in place shortly before Christmas until sometime in early or mid-March. [read post]
14 Aug 2012, 3:36 pm
May Have to Pay Another $15M to Minnesota Nonprofits For Securities Fraud, Institutional Investor Securities Blog, December 24, 2010 Wells Fargo Settles for $148M Municipal Bond Bid-Rigging Charges Against Wachovia Bank, Institutional Investor Securities Blog, December 8, 2011 Morgan Stanley, Citigroup, Wells Fargo, and UBS to Pay $9.1M Over Leveraged and Inverse ETFs, Stockbroker Fraud Blog, May 3, 2012 [read post]
21 Oct 2014, 7:38 am
He increased the credit line twice in early 2004, first to $1.2 million and later to $1.32 million, all after he submitted personal financial statements to the bank falsely stating that he owned millions of dollars of stock in Morgan Stanley and Lehman Brothers. [read post]
15 May 2019, 1:24 pm
From June 2009 until July 2014 Berg was registered with Morgan Stanley. [read post]
27 Apr 2020, 4:33 am
Other defendants include Barclays, Citigroup, Credit Suisse, Deutsche Bank, Goldman Sachs, Morgan Stanley, Royal Bank of Scotland and Wells Fargo & Co, or their respective affiliates. [read post]
10 Oct 2017, 7:00 am
The announcement that Dole Food has asked Morgan Stanley and Deutsche Bank to receive potential offers for the sale of the company further fuels this prediction. [read post]
16 May 2018, 12:40 pm
Three Plead Guilty to Defrauding Native American Tribe, Investors, InvestmentNews, May 16, 2018 Related Blog Posts: Proposed Tax Ruling Could Bar Oil and Gas Pipelines from Structuring as Master Limited Partnerships, April 13, 2018 Firm Executives Reportedly Were Aware of Domestic Violence Allegations Against High-Earning Morgan Stanley Broker for Years, Stockbroker Fraud Blog, April 12, 2018 SEC Accuses Broker of Giving Some Customers Preferential IPO Access in Exchange for… [read post]
17 May 2019, 8:42 am
He worked for more than three decades in the securities industry and also was previously a registered broker with RBC Capital Markets, Advest, Morgan Stanley DW (MS), Gruntal & Co., LF Rothschild and Co., and Mosley, Halgarten, Estabrook and Weden. [read post]
17 Apr 2008, 1:55 pm
The top underwriters in the municipal part of the market were Citigroup, UBS, Merrill Lynch and Morgan Stanley. [read post]
24 Mar 2022, 8:45 am
Prior to working for Ninepoint Advisors, Salamah was reportedly affiliated with the following firms during his career, among others, according to FINRA: 08/20/2010 – 02/07/2013, MORGAN STANLEY (CRD#:149777), ROCKFORD, IL, 02/11/2005 – 09/02/2010, METLIFE SECURITIES INC. [read post]
19 Dec 2008, 11:45 pm
He was the subject a long profile in New York Magazine in 2000, timed to coincide with his representation of Christian Curry, the Ivy Leaguer famously fired by Morgan Stanley after appearing without all of his clothes on in Playguy. [read post]
10 Nov 2009, 6:16 am
Morgan Stanley, a 2008 Seventh Circuit decision that held shareholders were unable to allege a fiduciary breach against a corporation’s financial advisor. [read post]
28 Sep 2015, 8:59 am
From August 2005 until August 2008, Highfill was associated with Morgan Stanley & Co. [read post]
17 Apr 2024, 6:25 pm
The numbers are stark: Rent the Runway cutting 10% of corporate jobs, Unity Software letting go of a quarter of its workforce, eBay reducing its staff by 9%, and the list goes on, including significant reductions at Microsoft, Salesforce, Flexport, iRobot, UPS, PayPal, Okta, Snap, Estée Lauder, DocuSign, Zoom, Paramount Global, Morgan Stanley, and Cisco. [read post]
