Search for: "Stanley A. August"
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6 Dec 2016, 3:00 am
Since the program incepted in August 2011, the agency has received a total of 18, 334 whistleblower tips. [read post]
31 Oct 2016, 7:47 am
From April 2007 until January 2013, Fox was associated with Morgan Stanley. [read post]
28 Oct 2016, 7:08 am
In early August, eight of the big banks—Wells Fargo, J.P. [read post]
5 Oct 2016, 7:59 am
Smith allegedly borrowed $300,000 from two clients — $150,000 from each — in December 2011 and August 2012, respectively, without first receiving prior written approval to enter into the loans from Morgan Stanley. [read post]
15 Sep 2016, 6:30 am
New from Oxford University Press: The Age of Deference: The Supreme Court, National Security, and the Constitutional Order (August 2016), by David Rudenstine (Cardozo School of Law). [read post]
1 Sep 2016, 7:56 am
FINRA Broker Disciplinary Action Report August 2016Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
26 Aug 2016, 6:21 am
Stanley v. [read post]
24 Aug 2016, 4:23 pm
By Monte Reel, August 23, 2016 – “The sky over the Circuit Court for Baltimore City on June 23 was the color of a dull nickel, and a broad deck of lowering clouds threatened rain. [read post]
19 Aug 2016, 7:02 am
The value of the pound sterling has decreased from $1.50 on June 23 to $1.30 on August 16. [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]
4 Aug 2016, 7:07 am
That semi-honor goes to Stanley Matthews, who squeaked by 24-23 in 1881. [read post]
1 Aug 2016, 6:38 am
Posted by Itzhak Ben-David, Ohio State University, on Monday, August 1, 2016 Editor's Note: Itzhak Ben-David is Associate Professor of Finance at The Ohio State University. [read post]
22 Jul 2016, 11:01 am
Failing to comply with cybersecurity laws didn’t just lead to a former Morgan Stanley employee accessing and transferring approximately 730,000 unique client accounts data to his personal server, which was ultimately hacked by third parties, but also led to Morgan Stanley having to pay a $1 million penalty to settle the SEC charges. [read post]
29 Jun 2016, 2:02 pm
Gioffre was employed by Morgan Stanley Smith Barney from June 2009 to June 2014 and was discharged from this firm amid allegations of “fee reversals in [his] personal Morgan Stanley account, continuing to maintain a pre-existing outside investment that never received written approval from the firm, and fund transfers between [his] personal Morgan Stanley account and the accounts of family members. [read post]
16 Jun 2016, 2:48 pm
Morgan Stanley. [read post]
9 Jun 2016, 3:28 pm
Indeed, in August 2015, the Third Circuit in the Wyndham Worldwide case affirmed the FTC’s regulatory enforcement authority against companies failing to take appropriate action to protect consumer financial information. [read post]
17 May 2016, 7:03 am
In April 2016, a customer complained that Barger made unsuitable investments in his account from August 2011 until December 2015. [read post]
Prosecutorial Misconduct in Texas Murder Trials: Prosecutors Fighting Against Misconduct Allegations
24 Feb 2016, 11:17 am
Freed after Case of Prosecutorial Misconduct In Dallas Murder Trial; Still Waiting For Exoneration Here in Dallas, there’s no argument that two men (Dennis Allen and Stanley Mozee) were victims of wrongful prosecution. [read post]
29 Jan 2016, 9:01 am
For example, TORCX, a fund that reportedly manages more than $1.23 billion in assets, has declined significantly in share price from its previous high of $19.52 in August 2014 according to recent quotes. [read post]
