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26 Oct 2016, 6:52 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has fined and suspended a former Client Service Administrator (CSA) at Morgan Stanley for fraudulently transferring money from a client’s account to third party bank accounts and for falsifying records.Pursuant to the settlement, the CSA agreed to be fined $5,000 and suspended from the securities industry for 60 days. [read post]
20 Feb 2007, 7:41 am
., Lowell ("The Hammer") Stanley. [read post]
7 May 2012, 2:07 pm
Please contact Jim Eccleston at the Eccleston Law Offices at 312-332-0000 to discuss your recovery options. [read post]
13 Jun 2011, 7:02 am
STANLEY KURTZ: “I posted some thoughts on the media’s Palin/Obama paper-trail hypocrisy last Friday. [read post]
24 Jul 2015, 1:15 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley and Scottrade Inc. agreed to pay $950,000 to FINRA after the regulatory authority deemed that the two firms failed to monitor wire transfers of customer funds to third-party accounts.FINRA discovered that, from 2008 to 2013, three registered Morgan Stanley reps created fraudulent wire transfer orders and branch checks from customer accounts to third-party accounts. [read post]
23 May 2012, 5:58 am
When I posted last week that the Facebook IPO was an opportunity for fraud, and quoted Jim Sallah, the well-known Boca Raton securities attorney, I was talking about stock scammers, not major brokerage firms.Reuters is reporting, under a headline Morgan Stanley Cut Facebook Estimates Just Before IPO that in the run-up to Facebook's $16 billion IPO, Morgan Stanley the lead underwriter on the deal, unexpectedly told some of its clients that the firm was… [read post]
13 May 2020, 1:47 pm
These words mean different, diametrically opposite things in Jim Gorman’s homeland. [read post]
3 Apr 2016, 12:56 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:CEO James Gorman runs Wall Street giant Morgan Stanley and has recently come under inspection for the promotion of questionable sales tactics. [read post]
23 Feb 2008, 6:13 am
From the Greentree Gazette When CUNY Graduate College Professor Stanley Aronowitz published The Last Good Job in America: Work and Education in the New Global Technoculture in 2001, reviewer John Marsh observed that the radical-left author was referring "to Stanley... [read post]
7 Aug 2015, 1:23 pm
From the Desk of Jim Eccleston at Eccleston Law LLC: FINRA has reached a $1 million settlement with Morgan Stanley Wealth Management and Scottrade Inc. [read post]
12 May 2008, 4:21 am
Jim Stanley, president of Duke Energy in Indiana, said, "Our goal is to make this one of the nation's first demonstrations of the capture and sequestration of carbon dioxide from a power plant. [read post]
8 May 2009, 10:41 am
Hamilton.But it's kinda odd that Minister of Finance, Jim Flaherty, who has nothing to do with [read post]
12 Mar 2007, 8:14 am
Adams, Jim Chen, Marjorie Cohn, Geoffrey Corn, David M. [read post]
21 Feb 2020, 10:31 am
You like what you like, and Jim Gorman really likes that talking baby. [read post]
9 Jan 2012, 7:41 pm
A year ago, we wrote that Morgan Stanley’s law department was oddly structured. [read post]
19 May 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has fined Morgan Stanley $5 million for allegedly failing to keep watch over how its financial advisers solicited client interest in 83 initial public offerings, including some big-ticket offerings such as Yelp and Facebook. [read post]
28 Jan 2008, 4:39 pm
Over at his great perch on the NYT website, Stanley Fish has launched the claim that constitutional theory doesn't really matter, especially in the context of presidential candidate selection. [read post]
18 Oct 2011, 2:46 pm
"Most Americans would be astonished to learn that government agents can track them, 24/7, without getting a warrant from a judge," said CDT Vice President for Public Policy Jim Dempsey, who moderated the event.Senators Wyden and Kirk used the opportunity to announce Kirk's co-sponsorship of the Geolocation Privacy and Surveillance (GPS) Act, which was introduced by Senator Wyden and Rep. [read post]
5 Oct 2021, 7:20 am
Maybe he wasn’t the funniest Canadian ever (who could unseat Jim Carey?) [read post]
8 Jul 2009, 5:35 am
Duke Energy Indiana president Jim Stanley said, “Indiana gets more than 90 percent of its electric power from coal, and our country has hundreds of years of reserves. [read post]
