Search for: "Morgan Stanley"
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11 Feb 2022, 8:25 am
Morgan Stanley Lawsuits Seek $5 Million for Fraud Losses According to an article in Financial Advisor IQ , the regulator has barred financial advisor Darryl Cohen, of Morgan Stanley, after allegations of stealing money from his professional athlete clients. [read post]
10 Feb 2022, 11:25 am
Continue Reading › The post Ex-Morgan Stanley Broker Darryl Cohen, Accused of Defrauding Pro Athletes, To Be Barred by FINRA appeared first on Investor Lawyers Blog. [read post]
7 Feb 2022, 3:30 am
Morgan Stanley Capital I Inc., Verizon ABS II LLC, Ford Credit Auto Receivables Two LLC, Nissan Auto Leasing LLC II, and Toyota Auto Finance Receivables LLC filed the registration statements to help their parent companies sell securities backed by mortgages, auto lease contracts, and other assets. [read post]
24 Jan 2022, 1:43 pm
Jared Poe Morgan Stanley Smith Barney Morgan Stanley & Co Incorporated Yousuf Salijooki Wordon Capital Management LLC Salomon Whitney Financial Dudley Stephens Coastal Equities, Inc. [read post]
13 Jan 2022, 8:59 am
He has been a Morgan Stanley broker since 2012. [read post]
5 Jan 2022, 3:40 am
With respect to the breach of fiduciary duty causes of action, “where an allegation of fraud is essential to a breach of fiduciary duty claim, courts have applied a six-year statute of limitations under CPLR 213 (8)” (IDT Corp. v Morgan Stanley Dean Witter & Co., 12 NY3d 132, 139 [2009], rearg denied 12 NY3d 889 [2009]; see Monaghan v Ford Motor Co., 71 AD3d 848, 849-850 [2d Dept 2010]). [read post]
3 Jan 2022, 11:43 am
Although it is seeking to settle, Morgan Stanley maintains that there was no wrong-doing on its end. [read post]
2 Jan 2022, 7:24 am
The number of federal court securities class action lawsuits filed during 2021 declined significantly compared to the number filed in 2020, and the number of 2021 filings was sharply below the elevated number of securities suits filed each year during the period 2017-2019. [read post]
20 Dec 2021, 10:01 am
Citi, Wells Fargo, Bank of America, Morgan Stanley, Goldman Sachs and JPMorgan Chase signed on to the alliance this year. [read post]
14 Dec 2021, 9:00 am
Morgan Stanley agreed to pay $9.8 million in restitution and a $3.25 million fine. [read post]
10 Dec 2021, 6:15 am
“As we enter LIBOR’s final days, this targeted solution will provide certainty not only to a diverse array of corporate borrowers and lenders, but to retail bondholders and consumers, whose student loans, mortgages, and investment accounts the legislation will protect from disruption and value degradation,” said Tom Wipf, ARRC Chairman and Vice Chairman of Institutional Securities at Morgan Stanley. [read post]
7 Dec 2021, 9:21 am
Continue Reading › The post Former Morgan Stanley Broker Jesus Rodriguez Is Barred by FINRA appeared first on Investor Lawyers Blog. [read post]
3 Dec 2021, 12:58 pm
Goldman Sachs and Morgan Stanley sold off these stocks between March 22, 2021, and March 29, 2021. [read post]
2 Dec 2021, 10:45 am
” “The City of New York also believes that allowing Sidley Austin to continue its representation of Morgan Stanley means that the firm would be in a position to ‘use privileged and/or confidential information about the drafting, negotiation, and interpretation” of the agreements at issue.'” “In its filing, the city claims that Sidley Austin did not seek its consent to represent Morgan Stanley. [read post]
2 Dec 2021, 7:03 am
The post Morgan Stanley Broker Jesus Rodriguez Barred from Securities Industry appeared first on The White Law Group. [read post]
30 Nov 2021, 8:38 am
(CRD#:6363) of Fort Meyers, FL, and Morgan Stanley (CRD#:149777) of Tampa, FL. [read post]
15 Nov 2021, 10:39 am
., In the Matter of Morgan Stanley Smith Barney LLC, Investment Advisers Act Rel. [read post]
15 Nov 2021, 10:39 am
., In the Matter of Morgan Stanley Smith Barney LLC, Investment Advisers Act Rel. [read post]
15 Nov 2021, 5:46 am
LLC, Morgan Stanley, and Allen & Company LLC were the joint book-running managers for the offering, with Needham & Company, Craig-Halllum, William Blair, KeyBanc Capital Markets, Raymond James, Barrington Research, Berenburg, and Northland Capital Markets as co-managers. [read post]
11 Nov 2021, 8:32 am
Holmes had told him that her company was talking with Morgan Stanley about an IPO in 12–18 months and that the company would bring in $200 million in revenue by 2008. [read post]