Search for: "Stanley Bond "
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25 Aug 2020, 12:29 pm
The Texas-based financial representative is accused of excessively trading in preferred securities and corporate bonds over five years, causing 10 customers to lose more than $900K. [read post]
13 Apr 2022, 1:22 pm
Morgan Stanley has limitations in place for soliciting investments in high risk junk bonds to protect against over-concentration risk. [read post]
18 Jun 2011, 8:17 am
In contrast, by charging a premium above par for new bond issues, the UBS and Morgan Stanley brokers would generate a ten-fold commission of $62,500. [read post]
4 Oct 2011, 8:10 am
Morgan Stanley’s credit default swaps and bond yields are climbing, signaling that investors are concerned about the firm’s creditworthiness. [read post]
14 Nov 2011, 8:32 am
” The FINRA findings indicate that “…Morgan Stanley’s supervisory system for corporate and municipal bond markups and markdowns was inadequate. [read post]
3 Feb 2011, 7:42 am
The issue, partly backed by the Japanese Bank for International Cooperation, was structured and place by Daiwa Security Capital Market and Mitsubishi UFJ Morgan Stanley Securities. [read post]
12 Jan 2024, 11:58 am
Block trades refer to the sale or purchase of a large quantity of securities, typically in the form of stocks or bonds, as a single transaction. [read post]
20 May 2019, 1:29 pm
Over half of the trades in question are long-term bonds, which have a very high commission value, and are intended to be held for a long period of time. [read post]
24 Jun 2022, 7:10 am
Good solicited customers to transfer funds to his personal bank account, allegedly for investments in real estate and government bonds. [read post]
8 Mar 2016, 1:08 pm
” According to statements made to the Wall Street Journal by Neal’s attorney, Neal was involved in an investment strategy of “borrowing against qualified replacement property bonds acquired from sales of stock to an employee stock ownership plan”. [read post]
1 Nov 2010, 8:00 am
Last week, Morgan Stanley was sued by a group of Singapore investors who accused the company of rigging a bond sale related to collateralized debt obligations in order to wipe out their $155 million investment. [read post]
5 Mar 2015, 9:44 am
Rich Intelisano & Katz LLP represents investors with claims related to the purchase of mortgage bonds, MBS, RMBS, and CDOs. [read post]
5 Mar 2012, 7:17 am
Morgan Stanley & Co. [read post]
23 Aug 2011, 11:08 am
Morgan Stanley: Bonding caps. [read post]
23 Aug 2011, 11:08 am
Morgan Stanley: Bonding caps. [read post]
20 Apr 2022, 10:39 am
Good allegedly told clients that they were investing in real-estate development projects and tax-free government bonds when in reality, he was using their funds to pay off other investors and his own personal expenses. [read post]
9 Oct 2023, 1:21 pm
She questioned her investments in bonds. [read post]
6 Aug 2012, 6:49 am
This rating is based upon the credit quality of (i) Morgan Stanley (Baa1) as gas supplier guarantor; (ii) Royal Bank of Canada (Aa3) as commodity swap provider; (iii) Morgan Stanley (Baa1) as interest rate swap provider; (iv) Sacramento Municipal Utility District (A1) as participant; and (v) Morgan Stanley (Baa1) as guaranteed investment agreement provider. (15) Roseville Natural Gas Financing Authority, CA Gas Prepayment Revenue Bonds, Series 2007A Moody’s… [read post]
6 Aug 2012, 6:49 am
This rating is based upon the credit quality of (i) Morgan Stanley (Baa1) as gas supplier guarantor; (ii) Royal Bank of Canada (Aa3) as commodity swap provider; (iii) Morgan Stanley (Baa1) as interest rate swap provider; (iv) Sacramento Municipal Utility District (A1) as participant; and (v) Morgan Stanley (Baa1) as guaranteed investment agreement provider. (15) Roseville Natural Gas Financing Authority, CA Gas Prepayment Revenue Bonds, Series 2007A Moody’s… [read post]
6 Aug 2012, 6:49 am
This rating is based upon the credit quality of (i) Morgan Stanley (Baa1) as gas supplier guarantor; (ii) Royal Bank of Canada (Aa3) as commodity swap provider; (iii) Morgan Stanley (Baa1) as interest rate swap provider; (iv) Sacramento Municipal Utility District (A1) as participant; and (v) Morgan Stanley (Baa1) as guaranteed investment agreement provider. (15) Roseville Natural Gas Financing Authority, CA Gas Prepayment Revenue Bonds, Series 2007A Moody’s… [read post]
