Search for: "Morgan Stanley"
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24 Apr 2008, 9:51 am
Jump back, Morgan Stanley — you’ve just been pulled into the tangle of litigation over the estate of the late “Godfather of Soul. [read post]
17 Nov 2003, 6:07 am
In Monday's corporations law news, Morgan Stanley has agreed to pay a fine of $50 million as part of a settlement with the Securities and Exchange Commission and the National Association of Securities Dealers regarding disclosure of fees and other information to investors who had bought certain mutual funds since the beginning of 2000. [read post]
20 Feb 2009, 5:57 pm
Morgan Stanley wants to make sure it keeps the best-performing brokers after it forms a joint-venture brokerage firm with Citigroup's Smith Barney unit, so it plans to pay them a total of $2 billion to $3 billion to encourage them to stay with firm for up to nine years. [read post]
13 Dec 2006, 8:24 am
Citigroup agreed to buy a wealth manager, Quilter Holdings, from Morgan Stanley to expand in Britain, the companies said on Wednesday. [read post]
10 Jul 2008, 12:06 pm
GLG Partners has brought in two senior traders from Morgan Stanley to replace Greg Coffey, the fund manager whose surprise resignation in April prompted $2 billion of redemptions. [read post]
5 Mar 2008, 5:03 am
ABC Learning Centers, the largest child-care center operator in Australia, said Wednesday that it would sell 60 percent of its operations in the United States to Morgan Stanley’s private equity unit, raising 750 million Australian dollars ($695 million). [read post]
10 Oct 2007, 1:14 pm
But Morgan Stanley’s quantitative-strategies traders had one heck of an awful day. [read post]
4 Dec 2006, 12:59 pm
When DealBook last wrote about Sony Pictures’ “Pursue It” contest, four semifinalists were vying for a summer internship at Morgan Stanley. [read post]
7 Dec 2007, 4:45 am
Morgan Stanley plans an investment banking joint venture with China Fortune Securities, one of the country’s oldest brokers, to expand its business and win clients in the fastest-growing major capital market, Reuters reported Friday citing unnamed sources. [read post]
10 Jan 2019, 8:47 am
Contact our Morgan Stanley broker fraud attorneys today. [read post]
1 Nov 2017, 4:13 am
The ostensible bad news delivered Monday is that Morgan Stanley is shutting down the Protocol party. [read post]
12 Apr 2017, 12:08 pm
The post Morgan Stanley to Pay Massachusetts $1 Million appeared first on White Securities Law. [read post]
6 Aug 2013, 8:29 am
The White Law Group is investigating the liability that brokerage firms may have for inappropriately recommending the Morgan Stanley HedgePremier Paulson Fund. [read post]
1 Aug 2013, 2:23 pm
Morgan Stanley previously paid $96,940.34 in restitution to New Jersey investors. [read post]
7 May 2014, 3:29 pm
Furthermore, FINRA found that Morgan Stanley failed in their supervisory responsibilities. [read post]
31 Mar 2009, 10:14 am
In settling these matters, neither Morgan Stanley nor the individual brokers admitted or denied the findings, but consented to the entry of FINRA's findings. [read post]
15 Feb 2017, 8:53 am
Concerned about investment losses in Morgan Stanley single-inverse ETF Investments? [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these… [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these… [read post]
Morgan Stanley Gets Sued by 10 Former Advisors Who Claim The Firm Stiffed Them on Compensation Owned
11 Aug 2022, 10:52 am
In a new arbitration filing, 10 ex-Morgan Stanley brokers in the New York City area raised claims that the firm “improperly deferred” compensation in violation of the Employee Retirement Income Security Act of 1974 (ERISA) and also violated New York state law by withholding those funds when they left, according to Advisorhub.com. [read post]
