Search for: "Morgan Asset Management"
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3 Dec 2013, 6:30 am
And no investor has conducted a proxy solicitation against a large banking organization since Relational Investors waged a proxy battle against the management and board of directors of Sovereign Bancorp in 2005-06. [read post]
5 Nov 2013, 6:03 am
From January 2003 through the end of 2012, Morgan Stanley enticed over 30,000 customers to invest $797 million collectively into a managed-futures fund called Morgan Stanley Smith Barney Spectrum Technical L.P. [read post]
28 Oct 2013, 11:17 am
On October 16, Justice Eileen Bransten of the Supreme Court for the State of New York dismissed a suit by FSA Asset Management LLC (FSAM) and Dexia SA/NV (with two related entities, Dexia) alleging fraud by Morgan Stanley in connection with the sale of $626 million in RMBS. [read post]
21 Oct 2013, 1:24 am
Often by the time the legal proceedings have reached the point where the insurer has a basis on which to try to seek recoupment, the individual from who it would seek recoupment has few remaining assets from which the insurer might recover. [read post]
16 Oct 2013, 11:45 am
Brokers that sell managed futures can also earn up to 4% of assets invested. [read post]
10 Oct 2013, 3:37 pm
First National Bank in Scotia, NY is in its 90th year with 10 branches and $400m in assets. [read post]
25 Sep 2013, 1:08 am
The government has relied on this theory to bring claims against Bank of America, JP Morgan Chase and BNY Mellon. [read post]
13 Sep 2013, 7:02 am
Van Natta was the president and manager of the Seymour-based Van Natta Asset Management LLC, along with a variety of related companies. [read post]
3 Jul 2013, 7:54 am
He worked as a senior account manager at the Royal Bank of Canada at the time. [read post]
1 Jul 2013, 1:39 pm
For instance, a broker who charges an annual fee equal to some percentage of your assets under management may not mention that he also plans to recommend lots of investments that will be excluded from the management fee and will generate big commissions for the broker. [read post]
24 Jun 2013, 5:58 am
A final handshake on Morgan Stanley’s acquisition of Smith Barney will tie up some lingering loose ends, including a smoother clearing process for client assets, in one of the largest wealth management industry deals in the past decade. [read post]
19 Jun 2013, 6:02 am
Janney has added two former Morgan Stanley advisors and a branch manager from Ameriprise to its ranks. [read post]
17 Jun 2013, 10:26 am
Wells Fargo Advisors just announced that it has hired nine financial advisors from Morgan Stanley, Merrill Lynch and RBC Capital Markets with $1.12 billion in assets under management.Transitioning between firms is a important, and stressful time. [read post]
17 Jun 2013, 6:00 am
The limited information provided to the directors was particularly problematic because fair valued securities comprised a significant percentage of the funds' net asset values (NAVs) - in most cases above 60 percent.The settled order finds that the valuation committee to whom the directors delegated the fair valuation responsibilities did not utilize reasonable procedures and often allowed the portfolio manager to arbitrarily set values. [read post]
10 Jun 2013, 3:49 pm
In light of the 4th DCA's Miller opinion, the folks at Morgan & Morgan probably realized they weren't going to get very far with some kind of alter-ego theory, so they took a long shot on a constitutional challenge. [read post]
5 Jun 2013, 9:06 am
When the company sponsoring a plan experiences a significant workforce or other restructuring, becomes distressed, goes bankrupt or liquidates, merges, sells assets or engages in other significant business transaction impacting the plans or its workforce, the rules, as well as the circumstances, can create a liability and operational quagmire for everyone from the sponsoring business, its management, buyers, vendors, plan fiduciaries, plan participants and beneficiaries,… [read post]
3 Jun 2013, 3:29 am
In Gelman, sister Corey Gelman holding a 50.5% membership interest sued brother Gary Gelman holding the remaining 49.5% interest in a dispute over a single-asset realty company named Charles Court Bellmore, LLC. [read post]
29 May 2013, 6:04 pm
Kristina Armstrong was married to Michael Armstrong, who was head of capital markets and international and domestic private wealth management at Morgan Stanley. [read post]
20 May 2013, 6:01 am
The focus is on the five areas in the October welcome letter: Marketing, Conflict of interest, Safety of client asset, Portfolio Management, and Valuation. [read post]
20 May 2013, 6:01 am
The focus is on the five areas in the October welcome letter: Marketing, Conflict of interest, Safety of client asset, Portfolio Management, and Valuation. [read post]
