Search for: "Morgan Stanley "
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13 May 2021, 2:35 pm
Scott Silver and James Sallah frequently collaborate on cases and recently represented an SEC whistleblower who received a $1.8 million award for reporting misconduct at Morgan Stanley and Citigroup that caused investors to suffer losses. [read post]
12 May 2021, 1:34 pm
., Eaton Vance Equity (Morgan Stanley), Pura Vida Investments and First Light Asset Management. [read post]
12 May 2021, 12:59 pm
The lawsuit was reportedly seeking $1.5 million in restitution from Viyella and his now former employer Morgan Stanley. [read post]
5 May 2021, 7:38 am
Morgan Stanley also recently announced that it sustained $644 Million in losses from a “credit event” and $267 Million in related trading involving Archegos. [read post]
30 Apr 2021, 7:27 am
Shapira has reportedly been affiliated with Morgan Stanley in New York, NY for eleven years, according to his BrokerCheck record. [read post]
29 Apr 2021, 10:35 am
Morgan Stanley discharged Mr. [read post]
28 Apr 2021, 9:55 am
Morgan Stanley served as first lead manager for all three of the offerings. [read post]
22 Apr 2021, 6:15 am
The broker-dealers who sold GPB, including those at Advisor Group, are not behemoths like Merrill Lynch or Morgan Stanley. [read post]
21 Apr 2021, 12:23 pm
Easterly, likewise, was with the NSA from 2009 to the end of the Obama administration (though, to be fair, she has been with Morgan Stanley for the past four years). [read post]
10 Apr 2021, 9:51 am
Since March 2017, Greenstone has been registered at Morgan Stanley. [read post]
9 Apr 2021, 10:06 am
From 1999 through 2018, Henley was registered with Morgan Stanley. [read post]
5 Apr 2021, 11:35 am
The client sought $300,000 in damages but the dispute was settled for $95,500 reportedly paid in settlement by Ameriprise, in addition to $9,500 paid in settlement by Citigroup Global Markets, and $9,500 paid in settlement by Morgan Stanley. [read post]
5 Apr 2021, 11:35 am
The client sought $300,000 in damages but the dispute was settled for $95,500 reportedly paid in settlement by Ameriprise, in addition to $9,500 paid in settlement by Citigroup Global Markets, and $9,500 paid in settlement by Morgan Stanley. [read post]
4 Apr 2021, 12:00 pm
From 2004 through 2009, Carrick was registered with Morgan Stanley and ultimately discharged for violating the firm’s policies and procedures as stated above. [read post]
4 Apr 2021, 12:00 pm
Since April 2016 Wroblewski has been associated with Morgan Stanley out of the firm’s Garden City, New York office location. [read post]
2 Apr 2021, 1:29 pm
So far, Credit Suisse, Goldman Sachs, Morgan Stanley, UBS and Nomura Securities have reported huge potential losses as a result of complex equity swaps – dubbed CFDs or contract for differences – with Archegos. [read post]
29 Mar 2021, 2:02 pm
His previous employers include Morgan Stanley Smith Barney LLC (CRD#:149777) and UBS Financial Services Inc. [read post]
26 Mar 2021, 11:56 am
Carter was reportedly affiliated with Morgan Stanley from 2009 until 2011 and then had a brief stint at Ameriprise. [read post]
25 Mar 2021, 12:12 pm
Following the attacks, Richard led a massive evacuation of Morgan Stanley’s 2,700-person workforce located in the South Tower. [read post]
22 Mar 2021, 1:22 am
Leach is currently registered with Morgan Stanley, a Financial Industry Regulatory Authority (FINRA) member firm. [read post]
