Search for: "Morgan Stanley, Inc."
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26 Jul 2016, 2:38 pm
Broker-dealer firms such as Morgan Stanley are obligated by the securities laws and industry rules to ensure that recommended investments are suitable for each investor. [read post]
22 Jul 2016, 9:48 am
Abrams was employed and registered with Morgan Stanley from 1995 to 2001, according to BrokerCheck records. [read post]
29 Jun 2016, 4:27 pm
The Federal Reserve did not object to the capital plan of Morgan Stanley, but is requiring the firm to submit a new capital plan by the end of the fourth quarter of 2016 to address certain weaknesses in its capital planning processes. [read post]
24 Jun 2016, 1:55 pm
” Prior to his employment and subsequent termination from Morgan Stanley, Mr. [read post]
17 Jun 2016, 6:00 am
Even better than right – Morgan Stanley actually excelled in its response. [read post]
16 Jun 2016, 2:48 pm
Morgan Stanley. [read post]
9 Jun 2016, 6:19 pm
(NYSE: JPM), Morgan Stanley (NYSE: MS) and Wells Fargo & Co. [read post]
9 Jun 2016, 3:28 pm
In a June 8, 2016 press release (here), the agency announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
2 May 2016, 10:11 am
On April 27, 2016, the Second Circuit Court of Appeals vacated and remanded the district court’s summary judgment order entered in favor of defendant Morgan Stanley Mortgage Capital, Inc. in the Southern District of New York. [read post]
2 May 2016, 10:06 am
(“MSAC”) and Morgan Stanley Mortgage Capital Holdings LLC (“Morgan Stanley”). [read post]
13 Apr 2016, 4:58 pm
(PDF)Morgan Stanley (PDF)State Street Corporation (PDF)Wells Fargo & Company (PDF)Resolution Plans Search [read post]
11 Apr 2016, 11:28 am
· Morgan Stanley Investment Management and one of its portfolio managers who paid nearly $9 million for unlawfully conducting “parking” trades that favored certain advisory client accounts over others that included an investment company. [read post]
20 Mar 2016, 8:59 am
From June 2009 until October 2015, Yocum was associated with Morgan Stanley. [read post]
8 Mar 2016, 6:52 pm
A retired couple from North Carolina has filed an arbitration claim against Morgan Stanley, alleging it failed to adequately disclose the risks involved in a proprietary energy-related investment in which they’ve lost more than $100,000, according to the law firm representing them. [read post]
8 Mar 2016, 1:08 pm
Neal currently is employed at Investment Professionals Inc. [read post]
29 Feb 2016, 4:43 pm
Nomura Holding Am., Inc., 104 F. [read post]
16 Feb 2016, 12:06 pm
While investors have suffered alarming losses in the oil and natural gas related investments, broker-dealers such as Citigroup, Barclays, Wells Fargo, Bank of America Merrill Lynch, Credit Suisse, Goldman Sachs, Morgan Stanley, UBS and JP Morgan have made approximately $1.1 billion in fees and commissions from selling these products. [read post]
9 Feb 2016, 7:47 am
Morgan Stanley Smith Barney LLC, February 4, 2016).District court action. [read post]
3 Feb 2016, 9:42 am
These MainStay Cushing funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Cetera Advisors LLC, Mid Atlantic Capital Corp., JPMorgan, Ameriprise Brokerage, Raymond James, RBC Wealth Management, Morgan Stanley, and Securities America Inc. [read post]
29 Jan 2016, 9:01 am
Tortoise funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Mid Atlantic Capital Corp, Morgan Stanley, Pershing FundCenter, Shareholders Services Group, JPMorgan, Fidelity Institutional, FundsNetwork, MSSB Retail Fund, Raymond James, CommonWealth Universe, RBC Wealth Management, Mid Atlantic Capital Group, MSWM Brokerage, and Securities America Inc. [read post]
