Search for: "Stanley A. August"
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2 Oct 2012, 1:08 pm
Stanley J. [read post]
1 Oct 2012, 3:09 pm
Stanley Lubman writes for The Wall Street Journal, China Real Time Report, August 24, 2012 Counterfeit goods and scams are used to defraud millions of Chinese daily. [read post]
13 Sep 2012, 7:45 pm
Citigroup agrees to $590 million subprime settlement, The Washington Post, August 29, 2012 Citigroup Pays ATD Executives Again in $590 Million Deal, Bloomberg, August 30, 2012 In re Citigroup Inc. [read post]
13 Sep 2012, 7:26 pm
” UBS Whistle-Blower Secures $104 Million Award From IRS, Bloomberg, September 11, 2012 IRS pays whistleblower $104 million, Reuters/AP, September 11, 2012 Whistleblower Gets $104 Million, The Wall Street Journal, September 11, 2012 More Blog Posts: CFTC Director Says Corporate Compliance Employees Should Have Comprehension of Dodd-Frank Whistleblower Requirements’Anti-Retaliation Provisions, Institutional Investor Securities Blog, June 14, 2012 SEC’s Office of the… [read post]
12 Sep 2012, 6:00 am
Econbrowser: China’s Trade Surplus — Menzie Chinn breaks down the August trade numbers. [read post]
11 Sep 2012, 6:23 pm
FINRA Fines Rodman & Renshaw $315,000 for Supervisory and Information Barrier Violations; Former Chief Compliance Officer and Two Research Analysts Sanctioned, FINRA, August 22, 2012 Two Investment Advisors Convicted in California of High Yield Investment Fraud, US DOJ, August 28, 2012 SEC v. [read post]
10 Sep 2012, 3:48 pm
Stanley Lubman writes for The Wall Street Journal, August 7, 2012 On July 23rd in Guizhou province, lawyers obtained a partial victory for some of the defendants accused of involvement in organized crime. [read post]
10 Sep 2012, 3:48 pm
Stanley Lubman writes for The Wall Street Journal, August 7, 2012 On July 23rd in Guizhou province, lawyers obtained a partial victory for some of the defendants accused of involvement in organized crime. [read post]
10 Sep 2012, 7:59 am
On August 29, 2012, Bank Hapoalim B.M. filed a summons with notice for a case against Morgan Stanley and related entities in the Supreme Court of New York for allegedly making knowing misrepresentations and omissions in offering materials concerning the loans pooled into $140 million worth of RMBS issued between September 2006 and June 2007 in eight RMBS securitizations. [read post]
6 Sep 2012, 3:51 am
Court of Appeal (Civil Division) Eli Lilly & Company v Human Genome Sciences, Inc [2012] EWCA Civ 1185 (05 September 2012) Carey -Morgan & Anor v Sloane Stanley Estate [2012] EWCA Civ 1181 (03 September 2012) French v Carter Lemon Camerons LLP [2012] EWCA Civ 1180 (03 September 2012) High Court (Queen’s Bench Division) McClaren v News Group Newspapers Ltd. [2012] EWHC 2466 (QB) (05 September 2012) High Court (Administrative Court) Perry v Nursing and Midwifery Council… [read post]
4 Sep 2012, 12:57 pm
On August 29, Bank Hapoalim B.M. filed a summons with notice in New York state court against four Morgan Stanley entities. [read post]
4 Sep 2012, 12:55 pm
Morgan Stanley Summons. [read post]
31 Aug 2012, 3:47 pm
Rojas, SEC.gov (PDF) SEC halts Denver Based Ponzi Scheme, SEC.gov, August 15, 2012 More Blog Posts: Institutional Investment Roundup: Madoff Ponzi Victims to Get 2nd Payout, Insurer’s MBS Lawsuit Against UBS Can Proceed, SEC Charges 2 in $10M Penny Stock Scam, & Hedge Fund Manager Found Guilty in $900K Insider Trading Scheme, Institutional Investor Securities Blog, August 29, 2012 SEC Securities Law Roundup: First Whistleblower Award Under New Program is Announced,… [read post]
30 Aug 2012, 10:22 am
Community voting and commenting are scheduled to close at 11:59 pm CT on Friday, August 31, so head on over to PanelPicker to cast your vote now! [read post]
29 Aug 2012, 11:11 am
In a FINRA arbitration statement of claim filed in April 2011, Morgan Stanley Smith Barney (“MSSB”) sought $68,239.00 in compensatory damages plus interest, costs, and fees from Respondent Richard Swetish, who had been an employee with the firm. [read post]
26 Aug 2012, 10:00 am
United States, No. 12-187 (pending conference on September 24) Stanley v. [read post]
26 Aug 2012, 7:50 am
Other filings in the case include a List of 20 Largest Unsecured Creditors and the Declaration of Stanley Pritchett, President of Morris Brown, in Support of the First Day Motions. [read post]
23 Aug 2012, 6:17 pm
United States, No. 11-1395, and Stanley v. [read post]
23 Aug 2012, 1:18 pm
, Reuters, August 20, 2012 Arbitrator Appointment Frequently Asked Questions, FINRA More Blog Posts: Morgan Stanley Smith Barney Ordered by FINRA Arbitration Panel to Pay $5M Over Allegedly False Promises Made To Brokers Recruited from UBS AG, Stockbroker Fraud Blog, June 22, 2012 Apple REIT Arbitration: FINRA Rules Against David Lerner Associates in First of Hundreds of Cases, Stockbroker Fraud Blog, May 26, 2012 UBS, Citigroup FINRA Arbitration with Nonprofit Over ARS… [read post]
22 Aug 2012, 12:20 pm
Morgan Stanley Dean Witter & Company Inc., Civ. [read post]
