Search for: "Morgan Securities LLC"
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17 Dec 2020, 11:35 am
A former South Florida Morgan Stanley Smith Barney broker’s decision to blow the whistle on alleged misconduct has resulted in an almost $1.8 million award from the Securities and Exchange Commission, which said the complaint helped uncover crucial evidence and claw back millions for investors.Represented by James Sallah of Sallah Astarita & Cox, LLC and Scott Silver of Silver Law Group the complaint revolved around a foreign currency trading program called… [read post]
15 Dec 2020, 9:45 am
Our client was a financial advisor at broker-dealer Morgan Stanley Smith Barney, LLC (Morgan Stanley). [read post]
14 Dec 2020, 8:44 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [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]
3 Dec 2020, 8:56 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
20 Nov 2020, 8:34 am
Morgan Securities LLC Scott Snelling Kestra Investment Services, LLC National Planning Corporation FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
20 Nov 2020, 7:45 am
Nelson Polun Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Inc Adam Schachter LPL Financial LLC Wells Fargo Clearing Services, LLC Paul Steffany Moors & Cabot, Inc. [read post]
5 Nov 2020, 7:35 am
Legal and Regulatory Developments SPOTLIGHT: Justice Department Files Antitrust Lawsuit Challenging Visa’s Planned Acquisition of Plaid Wall Street Journal – November 5, 2020 (subscription required) The Justice Department filed an antitrust lawsuit Thursday that seeks to block Visa Inc. [read post]
30 Oct 2020, 6:01 am
Presidential Election Posted by Heidi DuBois, Alex Heath, and Jill Fisher, Edelman, on Wednesday, October 28, 2020 Tags: Accountability, Corporate Social Responsibility, Environmental disclosure, ESG, Litigation disclosures, Long-Term value, Presidential elections, Securities regulation, Stakeholders, Sustainability Disclosures in Shareholder Lawsuits Posted by Boris Feldman, Doru Gavril, and Elise Lopez, Freshfields Bruckhaus… [read post]
23 Oct 2020, 9:53 am
Houston-based Kinder Morgan Inc. bought the Texas assets for $76 million. [read post]
23 Oct 2020, 8:03 am
Deependra Logani Morgan Stanley Smith Barney LLC Santander Securities LLC Anthony Mastroianni Jr. [read post]
23 Oct 2020, 6:57 am
Morgan Securities LLC Cleavon Tidball T. [read post]
23 Oct 2020, 3:31 am
Morgan Securities LLC still opted to go, hammer and tong, after three former employees. [read post]
9 Oct 2020, 10:28 am
Morgan Securities LLC (collectively, JPM). [read post]
5 Oct 2020, 1:39 pm
LLC. [read post]
5 Oct 2020, 9:15 am
Morgan Securities LLC to pay $35 Million appeared first on The White Law Group. [read post]
30 Sep 2020, 6:09 am
The Securities and Exchange Commission today announced settled charges against Morgan Stanley & Co. [read post]
29 Sep 2020, 9:09 am
Morgan Securities LLC, a broker-dealer subsidiary of JPMorgan Chase & Co., for fraudulently engaging in manipulative trading of U.S. [read post]
15 Sep 2020, 1:11 pm
Previous employers include Wells Fargo Clearing Services, LLC (CRD#:19616) of Hauppage, NY, RBC Capital Markets, LLC (CRD#:31194) if Jericho, NY, and Morgan Stanley DW INC. [read post]
14 Sep 2020, 12:37 pm
Morgan Securities, LLC (“J. [read post]
