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4 Sep 2007, 1:43 am
To have a senior executive like the general counsel resign and this number of outside counsel publicly called to explain their actions feels similar to the Morgan Stanley case. [read post]
16 Nov 2009, 1:11 pm
Bancorp $29.23B Morgan Stanley $28.00B American Express Company $26.62B Citigroup Inc [read post]
26 Aug 2009, 5:01 am
Defense Motions to Dismiss Class Action Granted because Allegations in Class Action Complaint Failed to Meet Rule 9(b)’s Requirements for Pleading Fraud with Specificity and because Class Action’s Allegations Failed under Rule 12(b)(6) New York Federal Court Holds Plaintiffs filed a putative class action against Merrill Lynch entities, Morgan Stanley entities, Citigroup entities, Charles Schwab entities and Wachovia entities, alleging inter alia violations… [read post]
31 Aug 2012, 3:47 pm
Rojas, SEC.gov (PDF) SEC halts Denver Based Ponzi Scheme, SEC.gov, August 15, 2012 More Blog Posts: Institutional Investment Roundup: Madoff Ponzi Victims to Get 2nd Payout, Insurer’s MBS Lawsuit Against UBS Can Proceed, SEC Charges 2 in $10M Penny Stock Scam, & Hedge Fund Manager Found Guilty in $900K Insider Trading Scheme, Institutional Investor Securities Blog, August 29, 2012 SEC Securities Law Roundup: First Whistleblower Award Under New Program is Announced, Internet-Based… [read post]
26 Oct 2023, 8:35 am
Shawn O’Connell Morgan Stanley Merrill Lynch, Pierce ,Fenner & Smith Incorporated Steven Thompson Network 1 Financial Securities Inc. [read post]
31 Oct 2012, 12:28 pm
As a lot of firms have transitioned from the fee based model used by more traditional brokerage firms (like Morgan Stanley, Merrill Lynch, etc.) to the investment advisory model, these new RIAs are left trying to figure out where to resolve any disputes that may arise. [read post]
15 Nov 2007, 6:02 am
I first came across FIASCO in downtown Tokyo shortly after I arrived there and used it as a guide to audit local sales practices (the rumor, somewhat apocryphally, was that so did Japan's regulators a few years later when they audited Morgan Stanley in Tokyo). [read post]
24 May 2018, 1:38 pm
More Blog Posts: SEC Proposes “Regulation Best Interests” that Would Prevent Brokers from Merely Calling Themselves Investment Adviser, Stockbroker Fraud Blog, April 20, 2018 Ex-Wells Fargo Broker Barred for Alleged $180K Elder Financial Fraud, Stockbroker Fraud Blog, February 26, 2018Firm Executives Reportedly Were Aware of Domestic Violence Allegations Against High-Earning Morgan Stanley Broker for Years, Stockbroker Fraud Blog, April 12, 2018 Wedbush Securities… [read post]
8 Dec 2014, 4:54 am
Morgan Stanley & Co International Plc v Tael One Partners Ltd, heard 17 November 2014. [read post]
28 Sep 2017, 9:30 pm
The Financial Industry Regulatory Authority (FINRA) issued Morgan Stanley $13 million in fines and restitution to affected customers for “failing to supervise its representatives’ short-term trades” of portfolios of securities with specific maturity dates. [read post]
18 Jul 2008, 6:01 am
And now this week, with the demise of Fannie Mae and Freddie Mac, SEC Chairman Christopher Cox issued an emergency order attempting to curtail naked short-sellers of the stock of the embattled government sponsored entities and also the stocks of Lehman Brothers, Goldman Sachs, Merrill Lynch and Morgan Stanley. [read post]
11 Nov 2010, 2:32 pm
The panel features Richard Climan of Dewey & LeBoeuf, Robert Kindler from Morgan Stanley, Vice Chancellor J. [read post]
3 Mar 2008, 6:42 am
., Sharon Steel, 691 F.2d at 1048; Morgan Stanley & Co., Inc. v. [read post]
5 Jul 2022, 8:39 am
Jaime Quintero American Independent Securities Goup, LLC AFA Financial Group, LLC J-waun Smiley Morgan Stanley Charles Schwab & Co., Inc. [read post]
19 Sep 2008, 8:29 pm
• Morgan Stanley and Wachovia are reportedly discussing a potential merger. [read post]
25 Oct 2023, 12:29 pm
SW Financial Jin Zhu Morgan Stanley Key Investment Services LLC FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
23 Mar 2008, 6:56 pm
This time firms like Goldman Sachs, JPMorgan Chase, Morgan Stanley, Bank of America, and others (Bear Stearns R.I.P.) dodged regulatory oversight both by securing changes to applicable law and, largely as a result of their new freedom, by creating financial instruments that nobody ever heard of before. [read post]
16 Sep 2020, 2:00 am
For example, companies like Bank of America (BoA) and Morgan Stanley opted to shift their internship programs to a virtual model. [read post]
8 Nov 2010, 10:16 am
Honorable Mention: Jessica Zellner and Jason Polevoy (2, UPenn) Cynthia Watters and George Shepherd (Harvard, Emory professor) Marina Lenderman and Lawrence Scheer (Harvard) Katherine Kinzler and Zachary Clopton (Harvard)The Rest: Nyssa Fajardo and Christen Lee (Fordham) Sarah Wagman and Andrew Ellenbogen (Harvard, Morgan Stanley) Jamie Flynn and Edwin McDowell (Cornell) Laura Hines and Gregory Laufer (Cornell, Paul Weiss) Langley Perer and Jonathan Huddle (NYLS, picture) Camrin… [read post]
11 Nov 2008, 1:13 pm
Transforming into a bank, a step already taken by securities firms Goldman Sachs Group Inc. and Morgan Stanley, would also allow insurers to receive direct loans from the Federal Reserve.While insurers meeting these requirements are eligible for participation in the CPP, it is still unclear whether the Treasury will provide them with any capital. [read post]
