Search for: "Morgan Stanley"
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18 Jun 2008, 12:20 pm
Morgan Stanley said Wednesday that it earned $1.02 billion for its second quarter, as the firm saw declines in its core trading and investment banking operations. [read post]
20 Jul 2009, 12:36 pm
The SEC and Morgan Stanley settled charges that the firm and one of its former investment adviser representatives misled clients about the money managers being recommended to them and failing to disclose conflicts of interest. [read post]
27 Dec 2006, 2:48 pm
From the New York Times: By GRETCHEN MORGENSON Published: December 20, 2006 "The NASD, the nation’s largest self-regulatory organization for the securities industry, accused Morgan Stanley yesterday of routinely failing to provide e-mail messages to aggrieved customers who had filed... [read post]
28 Jun 2006, 7:59 pm
[JURIST] A lawyer for Morgan Stanley [corporate website] asked a three-judge panel of the Florida Fourth District Court of Appeal [official website] on Wednesday to overturn a "disproportionate" 2005 jury verdict awarded [JURIST report] to billionaire financier and Revlon Chairman Ron Perelman. [read post]
25 Aug 2017, 6:17 am
Morgan Stanley Censured & Fined According to FINRA, Morgan Stanley has agreed to pay $500,000 to the Financial Industry Regulatory Authority and restore $103,219 to investors for improperly executing trades of preferred securities. [read post]
6 Apr 2018, 12:13 pm
Morgan Stanley and Barclay’s were responsible for underwriting the island’s $3.5 billion sale in March 2014. [read post]
15 May 2018, 1:00 pm
Peterson was previously employed at Morgan Stanley Smith Barney from 2011 to 2017 and St. [read post]
6 Aug 2019, 2:58 pm
Kavanagh did not disclose his interest in MGMT or CEO-Sports to Morgan Stanley. [read post]
6 Apr 2022, 12:06 pm
The Journal says that the SEC has asked for trading records and electronic communications from a number of banks and hedge funds and that Morgan Stanley has responded. [read post]
22 Dec 2015, 8:55 am
At the time of the sale to SG Americas, Huang prearranged their repurchase by an unregistered fund she managed and advised at Morgan Stanley. [read post]
19 Nov 2009, 5:47 am
Mack of Morgan Stanley, that's just fine. [read post]
7 Oct 2022, 11:04 am
In fact, contribution into Morgan Stanley’s deferred compensation program begins on the first day. [read post]
28 Feb 2017, 11:20 am
According to the Order, the specific type of ETF Morgan Stanley was improperly selling to investors is an “inverse” ETF. [read post]
28 Feb 2017, 11:20 am
According to the Order, the specific type of ETF Morgan Stanley was improperly selling to investors is an “inverse” ETF. [read post]
17 Nov 2016, 1:00 pm
Morgan Stanley & Co. is expanding its presence in Baltimore by adding 800 new jobs over the next four years and opening a new downtown office, the New York financial firm announced Thursday. [read post]
17 Oct 2007, 9:20 am
Morgan Stanley has sold off its 7.2 percent stake in The New York Times Company, people with knowledge of the matter told DealBook Wednesday. [read post]
8 Apr 2008, 5:14 am
Despite shareholder fury over Morgan Stanley’s fourth-quarter loss, John J. [read post]
16 Sep 2008, 9:28 pm
Morgan Stanley said on Tuesday that its third-quarter earnings fell nearly 3 percent, trouncing expectations as the year-old credit crisis slowed deal activity to a crawl and created one the toughest trading environments in decades. [read post]
9 Nov 2006, 7:30 am
The investment bank Morgan Stanley submitted a shareholder proposal to The New York Times Company that would put the newspaper’s dual-class ownership structure to a vote. [read post]
12 Mar 2008, 11:50 am
Mack as chairman of Morgan Stanley. [read post]
