Search for: "R. A. Stanley"
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21 Jul 2021, 4:00 am
Justice Stanley Matthews [read post]
7 Apr 2014, 7:01 am
The law offices of Gana LLP recently filed a complaint against RBC Capital Markets, LLC (RBC) and Morgan Stanley Smith Barney, LLC (Morgan Stanley) accusing their registered representative Bruce Weinstein (Weinstein) of churning (excessive trading) and making unsuitable recommendations. [read post]
5 Mar 2012, 7:17 am
Morgan Stanley & Co. [read post]
14 Jan 2016, 1:24 pm
Plaintiffs asserted fraud claims against Defendants based on allegations that Defendants knowingly misrepresented the quality of more than $626 million in RMBS sold by Morgan Stanley to Plaintiffs in 2006 and 2007. [read post]
27 Feb 2012, 8:36 am
Lamar Smith (R-TX) and passed out of the House Judiciary Committee in July. [read post]
29 Jun 2013, 8:39 am
I felt like I was watching the Halle Berry performance in the role of Alicia Stanley. [read post]
2 May 2012, 6:14 am
("Citigroup"), Morgan Stanley, UBS Financial Services, Inc. [read post]
21 Jul 2020, 12:39 pm
The post Broker Michael Barry Carter, Morgan Stanley Advisor, Charged with Fraud appeared first on The White Law Group. [read post]
9 Dec 2014, 7:00 am
Morgan Stanley is not the only one who does it - almost all of the larger brokerage firms require large producers and executives to take their compensation on a deferred basis - often up to 50% of regular compensation and 80% of bonuses.Like most of these types of policies, the firms attempt to convince employees that the deferral is for the benefit of the employee - deferred taxes and all of that nonsense. [read post]
2 Jul 2018, 7:22 am
Morgan Stanley Smith Barney LLC, Defendant/Appellee (Opinion, July 2, 2018)http://www.brokeandbroker.com/PDF/Ploetz8Cir.pdfPloetz filed a FINRA Arbitration claim against Morgan Stanley Smith Barney LLC, alleging that Morgan Stanley had transferred funds from the account without authorization. [read post]
26 Feb 2018, 3:30 am
How Morgan Stanley’s ex-broker lawsuits could backfire (On Wall Street / Financial Planning by Kenneth Corbin)https://onwallstreet.financial-planning.com/news/how-morgan-stanleys-ex-broker-lawsuits-could-backfire. [read post]
14 May 2008, 11:37 pm
In an article well worth reading yesterday at the Weekly Standard, Stanley Kurtz asked the question of what did Barack Obama know about the controversial views and statements of his friend, mentor and pastor of twenty... [read post]
15 Aug 2016, 12:11 pm
On August 11, 2016, the First Department of the Appellate Division of the Supreme Court of the State of New York affirmed a trial court ruling that investor-plaintiff IKB International to proceed with claims that RMBS sponsor and underwriter Morgan Stanley knowingly misrepresented loans’ credit quality and characteristics. [read post]
15 Aug 2016, 12:07 pm
Bank to proceed with claims against Morgan Stanley in connection with alleged losses of $140 million resulting from the sale of allegedly defective loans. [read post]
20 Dec 2011, 2:00 pm
It is uncertain what amendments, if any, will be made to the bill before it faces a floor vote.Going forward, and with the benefit of more time, CDT hopes Members will take to heart the legitimate objections raised about SOPA by both Republicans and Democrats during the markup.In particular, CDT shares the concerns articulated by Representative Jason Chaffetz (R-Utah) regarding the lack of expert consultation we've seen thus far in the legislative process. [read post]
20 Dec 2011, 2:00 pm
It is uncertain what amendments, if any, will be made to the bill before it faces a floor vote.Going forward, and with the benefit of more time, CDT hopes Members will take to heart the legitimate objections raised about SOPA by both Republicans and Democrats during the markup.In particular, CDT shares the concerns articulated by Representative Jason Chaffetz (R-Utah) regarding the lack of expert consultation we've seen thus far in the legislative process. [read post]
27 Jun 2014, 3:25 am
This is an update of Former Morgan Stanley Smith Barney Brokers Win $5 Million Employment Dispute Arbitration Award (BrokeAndBroker.com, June 20, 2012).In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2011 and thereafter amended, Claimants Paladino and Vitale asserted:fraudulent misrepresentation;promissory fraud;fraudulent concealment and/or omission;negligent misrepresentation;negligent concealment and/or omission;breach of… [read post]
11 May 2009, 8:56 am
Tucked into the 10-Q that Morgan Stanley (MS) filed on Thursday was a revised employment agreeement for Chairman and CEO John Mack. [read post]
12 Jun 2016, 10:24 pm
In Case You Missed It: The SEC fined Morgan Stanley $1 million for a 2014 data breach. [read post]
20 Apr 2019, 2:01 pm
David R. [read post]
