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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]
10 Nov 2021, 1:14 pm
LLC, Morgan Stanley, and Allen & Company LLC were the joint book-running managers for the offering, with Needham & Company, William Blair, KeyBanc Capital Markets, Raymond James, Barrington Research, Craig-Halllum, Berenburg, and Northland Capital Markets as co-managers. [read post]
8 Nov 2021, 1:27 pm
Ricardo Uliambre Morgan Stanley Smith Barney LLC UBS Financial Services Inc. [read post]
8 Nov 2021, 1:17 pm
Thomas Hagan Morgan Stanley Wells Fargo Advisors, LLC Andre Labarbera Titus Rockefeller, LLC IFS Securities Michael Leahy First Standard Financial Company LLC Alexander Capital, LP David Levy Titus Rockefeller, LLC IFS Securities Leslie Markus Jr. [read post]
3 Nov 2021, 6:12 am
Rahn was previously registered with Deutsche Bank Securities, Morgan Stanley & Co, and Merrill Lynch, Pierce, Fenner & Smith between 1992 and 2010, as reported on his Brokercheck page. [read post]
3 Nov 2021, 6:12 am
Rahn was previously registered with Deutsche Bank Securities, Morgan Stanley & Co, and Merrill Lynch, Pierce, Fenner & Smith between 1992 and 2010, as reported on his Brokercheck page. [read post]
3 Nov 2021, 6:12 am
Rahn was previously registered with Deutsche Bank Securities, Morgan Stanley & Co, and Merrill Lynch, Pierce, Fenner & Smith between 1992 and 2010, as reported on his Brokercheck page. [read post]
2 Nov 2021, 8:49 am
ARGENTINA On 12 September 2021, President Alberto Fernández’s Justicialist party suffered significant losses in Argentina’s midterm primaries. [read post]
29 Oct 2021, 8:07 am
INCORPORATED (CRD#:8209), FAIRFIELD, NJ 03/12/2004 – 04/02/2007, MORGAN STANLEY DW INC. [read post]
19 Oct 2021, 8:53 am
Did A Morgan Stanley Broker Recommend Vipshop Holdings Ltd. [read post]
18 Oct 2021, 7:02 am
At least one company did not enjoy having its shares dumped, it says in lawsuit form. [read post]
15 Oct 2021, 12:10 pm
Morgan Stanley sought a temporary r... [read post]
15 Oct 2021, 12:10 pm
After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction (BrokeAndBroker.com Blog)Attorney General James Directs Unregistered Crypto Lending Platforms to Cease Operations In New York, Announces Additional Investigations / Today's Announcement Follows Previous Warnings to Virtual Currency Platforms That Unlawful Activity Will Not Be Tolerated in New York (NYAG Release)SEC Staff Releases Report on Equity… [read post]
11 Oct 2021, 7:59 pm
Federal government contractors and grant recipients should tighten cyber security policies, practices and internal controls to mitigate their exposure to civil False Claims Act claims by the Department of Justice (“DOJ”) under a new DOJ Civil Cyber-Fraud Initiative announced by DOJ last week. [read post]
