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27 Dec 2007, 3:35 am
Grassley's concern that the SEC may have given preferential treatment to John Mack, head of Morgan Stanley, when the SEC investigated possible insider trading at Pequot Capital Management. [read post]
16 Jan 2012, 4:42 pm
Jo Ann Marie Head, formerly with Morgan Stanley Smith Barney in Whittier, California, was barred from association with any FINRA member and ordered to pay restitution to a customer in the amount of $19,000, which represented a loan granted Head by a customer. [read post]
6 Feb 2023, 9:05 pm
Large financial firms such as Merrill Lynch, Morgan Stanley, and UBS have started sustainable-investing platforms for their advisers, and they and others are increasingly relying on commercially available ESG data and ratings to gauge companies’ ESG performance. [read post]
1 Mar 2010, 12:27 am
Louis Park, MN March 17-18 Sponsor: HedgeFund Intelligence Event: AsiaHedge Forum 2010 Location: Hong Kong March 18 Sponsor: Fountain Hills Chamber of Commerce Event: 2010 Fountain Hills Chamber 2nd Annual Economic Forum Location: Phoenix, AZ March 18 Sponsor: Morgan Stanley, Schulte Roth & Zabel Event: Distribution of Alternative Funds Outside the United States Location: New York, NY March 18 Sponsor: GoldenNetworking.com Event: Hedge Fund Leaders Forum 2010,… [read post]
3 Dec 2018, 11:27 am
Morgan Stanley (MS) is the remaining defendant in this Aussie benchmark lawsuit, which was brought by investor Richard Dennis. [read post]
13 Apr 2010, 6:38 am
"mary meeker morgan stanley internet slideshow" http://j.mp/boqNiW this is concerning ... [read post]
23 Jan 2017, 1:47 pm
Morgan Stanley, with 3,807 advisors, had the lowest rate: 0.79 percent. [read post]
7 Jul 2024, 8:35 pm
AI in Banking and Finance, June 15, 2024 – Four highlights from this post: Artificial Intelligence and the Skill Premium; Rising Cyber Threats Pose Serious Concerns for Financial Stability; The Future Of Banking: Morgan Stanley And The Rise Of AI-Driven Financial Advice; and The Pitfalls of Mixing Up AI and Automation in Finance. [read post]
27 Jul 2020, 3:00 am
Sometimes, they even specified the color of ink to be used (“Morgan Stanley blue” anyone?). [read post]
13 Nov 2011, 10:06 am
Morgan Stanley Mortg. [read post]
30 Jun 2022, 2:00 pm
Carnival is currently facing unprecedented financial problems due to COVID-19 with staggering debt of $35,000,000,000 (billion) and one analyst (at Morgan Stanley) stated yesterday that Carnival stock could go to $0. [read post]
24 Nov 2014, 4:51 am
Morgan Stanley & Co International Plc v Tael One Partners Ltd, heard 17 November 2014. [read post]
6 Dec 2006, 8:21 am
Morgan Stanley decision, where companies that have tried to handle these complex tasks themselves have been severely penalized, both in terms of regulatory sanctions and costly judgments. “Many companies have a staggering array of electronically stored information, which includes legacy data stores, archived data, networked systems, orphaned media, etc., so they have no idea what the time or cost would be to find and present this data during litigation,” said Dean… [read post]
5 Feb 2012, 10:44 am
Subpoena receivers included Morgan Stanley Mortgage Capital Holdings and CitiMortgage. [read post]
6 Dec 2006, 8:57 am
For example, Morgan Stanley was fined $1.5 billion in May 2005 when a judge ruled that the company had failed to preserve information. [read post]
13 May 2015, 7:08 am
According to the report, some of the largest firms in the United States are falsely advertise in this fashion including Merrill Lynch, Wells Fargo, Morgan Stanley, UBS, Fidelity, Ameriprise, Allstate Financial, Berthel Fisher, and Charles Schwab. [read post]
5 Jan 2024, 1:14 pm
Louis No NYLife Securities, LLC Shawn O’Connell Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Incorporated Chanda Park Transamerica Financial Advisors, Inc. [read post]
1 Apr 2010, 3:43 am
AAR also referred to its earlier decisions in the matter of Morgan Stanley and Co and Fidelity North Star Fund, where similar issues were raised for determination. [read post]
2 May 2022, 1:51 pm
Jaime Quintero American Independent Securities Group, LLC AFA Financial Group, LLC J-waun Smiley Morgan Stanley Charles Schwab & Co., Inc. [read post]
1 May 2023, 8:42 am
(CRD#:594), BOSTON, MA, B, 11/16/2018 – 05/22/2020, MORGAN STANLEY (CRD#:149777), WILLIAMSVILLE, NY B, 12/06/2013 – 11/27/2018, UBS FINANCIAL SERVICES INC. [read post]
