Search for: "Morgan Stanley"
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21 Nov 2016, 3:28 pm
According to On Wall Street after overhauling its recruiting deals in light of new regulatory guidance on the fiduciary rule, Morgan Stanley is again tweaking its transition package for elite brokers.The wirehouse is sweetening the deal for advisers in the top quintile, offering up to 175% of a broker's 12-month trailing production to move, according to two people familiar with the matter.However, there is no back end - because of the fiduciary rule.Morgan… [read post]
23 Aug 2011, 11:08 am
Morgan Stanley: Finite scale. [read post]
23 Aug 2011, 11:08 am
Morgan Stanley: Finite scale. [read post]
29 Oct 2007, 9:42 am
As predicted in an earlier post on The Datakos Blawg titled “What is Happening to Morgan Stanley Could Happen to You,” Morgan Stanley is beginning to feel the ripple effect of its problems with email backup tape maintenance and controls. [read post]
3 Jun 2017, 11:55 am
FINRA bars former Morgan Stanley broker over $190M Venezuela bond trades"A former Morgan Stanley broker who had been one of the largest producers in the firm’s New York branch has been banned from the industry under a settlement with FINRA.John Batista Bocchino secretly made 300 Venezuelan currency bond trades worth $190 million after the firm forbade such transactions out of concerns about money laundering, according to FINRA.The regulator announced… [read post]
11 Jan 2021, 11:45 am
Morgan Stanley allowed Mr. [read post]
21 Oct 2016, 7:35 am
From June 2009 until June 2016, Aguilar was associated with Morgan Stanley. [read post]
20 Sep 2016, 11:25 am
According to Morgan Stanley, the firm terminated Beck after raising concerns relating to employee’s disclosures relating to outside activities. [read post]
7 Jul 2017, 4:41 am
Fitz-Gerald has been employed with Morgan Stanley since November 2008. [read post]
20 Dec 2018, 9:21 am
From May 2010 until February 2018 Buck was registered with Morgan Stanley out of the firm’s Boston, Massachusetts office location. [read post]
23 Feb 2022, 2:03 pm
The post It Has Stopped Being A Good Thing To Be Friends With Morgan Stanley’s Block Trading Head appeared first on Above the Law. [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]
28 May 2010, 3:28 pm
After holding out its pay practices as a rejoinder to Wall Street excess, Morgan Stanley disclosed late Friday afternoon that it will more than double the salary of John J. [read post]
24 Jun 2010, 1:14 pm
The Massachusetts Attorney General and Morgan Stanley reached settlement over the firm's subprime lending policies that requires the firm to pay the state $102 million, of which $58 million will go to the state's affected homeowners. [read post]
12 Aug 2010, 2:29 pm
FINRA censured and fined Morgan Stanley & Co., Inc. $800,000 for failing to make public disclosures required by FINRA's rules governing research analyst conflicts of interest. [read post]
8 May 2009, 6:11 am
Morgan Stanley on Friday said it priced a $3.5 billion offering of common shares at $24 each. [read post]
16 Mar 2012, 7:18 am
Gorman, Morgan Stanley's chief executive, told a conference that he was "surprised" by the Greg Smith opinion article and said that his firm "is in much better shape" than its stock price would reflect. [read post]
5 Mar 2009, 2:37 pm
But according to The Huffington Post, at least one Morgan Stanley financial adviser was trying to persuade a client to lend his Ford shares for short-selling. [read post]
16 Nov 2011, 11:06 am
A division of Morgan Stanley has agreed to pay more than $3.3 million to settle a Securities and Exchange Commission investigation that found a firm fund that invested in Malaysian stocks charged investors for third-party services those investors never received. [read post]
12 May 2010, 1:03 pm
Journal reports today that the DOJ (out of its New York office) is investigating Morgan Stanley and mortgage-related deals that it designed and marketed (called "Dead President" deals after Presidents Buchanan and Jackson). [read post]
