Search for: "Morgan Stanley"
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16 Dec 2020, 10:29 am
Morgan Stanley Smith Barney LLC established the law of the circuit on a nifty issue of subject matter jurisdiction in the context of arbitration. [read post]
15 Dec 2020, 9:45 am
Our client was a financial advisor at broker-dealer Morgan Stanley Smith Barney, LLC (Morgan Stanley). [read post]
14 Dec 2020, 8:44 am
Prior to that he was affiliated with Morgan Stanley in New York, NY 2009 until 2016 when he was reportedly discharged for “Allegations concerning cost-related issues associated with registered representative’s trading of U.S. treasuries. [read post]
11 Dec 2020, 7:08 am
Federal Court Says Former Morgan Stanley Advisor's Discrimination Claims Are Time Barred(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5594/morgan-stanley-ada-fmla/A Morgan Stanley Wealth Advisor Associate alleged that she was the victim of discrimination and retaliation based, in part, on sex, race, and ethnicity in violation of the ADA, Title VII, and FMLA. [read post]
11 Dec 2020, 7:08 am
A couple of public customers sued Morgan Stanley citing losses in Puerto Rico bond investments. [read post]
11 Dec 2020, 7:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5591/securities-industry-commentator/SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution (SEC Release)Former Nomura RMBS Trader Who Defrauded Customers is Sentenced (DOJ Release)Federal Court Says Former Morgan Stanley Advisor's Discrimination Claims Are Time… [read post]
11 Dec 2020, 7:08 am
After Midnight It All Hangs Out In Morgan Stanley Arbitration(BrokeAndBroker.com Blog)SEC Charges Corporate Controller and His Brother-In-Law with Insider Trading Ahead of Merger Announcement (SEC Release)FINRA Censures and Fines R.F. [read post]
4 Dec 2020, 1:23 pm
Joseph Stone Capital, LLC Riza Hernandez Lincoln Financial Securities Corporation Wells Fargo Advisors, LLC Donald Padilla National Securities Corporation National Asset Management Jon Sanchez Independent Financial Group LLC Morgan Stanley Joseph Shimko, Jr. [read post]
3 Dec 2020, 8:56 am
Securities Attorneys for Promissory Note Arbitration Cases A Promissory Note (often called an up-front forgivable loan) is commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley, Merrill Lynch, Wells Fargo Securities, Ameriprise, and UBS Financial Services. [read post]
2 Dec 2020, 12:17 pm
Apparently UBS, and Morgan Stanley, who also left the Protocol, were losing too many brokers and clients, withdrew from the Protocol and started suing departing brokers.Now UBS is offering these significant fee waivers and margin rate reductions to keep clients, which will undoubtedly be matched by the new firm, which ultimately reduces compensation for the broker.Merrill Lynch also instituted "enhanced protocols" to retain clients from its departing brokers earlier this… [read post]
1 Dec 2020, 4:02 am
Morgan Stanley Fires Financial Advisors After Inherited Account Credits Investigation Morgan Stanley (MS) announced recently that it has terminated a number of financial advisors after a months-long investigation into payments being made to retired Morgan Stanley financial advisors under Morgan Stanley’s own Legacy Account Payments Program. [read post]
27 Nov 2020, 12:05 pm
FINRA Sanctions Former Morgan Stanley and UBS Reps Over Misuse of Customer Information (BrokeAndBroker.com Blog)SEC Awards Over $6 Million to Joint Whistleblowers (SEC Release)Long Island Man Charged with Defrauding Investors / Defendant Allegedly Misappropriated More Than $700,000 in Investor Funds (DOJ Release)SEC Charges Boiler Rooms Operator with Defrauding Retail Investors (SEC Release)San Antonio Father and Son Arrested for Alleged Ponzi Scheme (DOJ Release)... [read post]
27 Nov 2020, 12:05 pm
Wall Street's customers have every right to expect -- to demand -- that their personal information is not freely bartered to the highest bidder. [read post]
25 Nov 2020, 3:00 pm
(Morgan Stanley). [read post]
24 Nov 2020, 12:05 pm
He was registered with Summit Brokerage Services in Lady Lake, FL from 2015 to 2016, and prior that he was affiliated with Morgan Stanley in the Villages, FL for six years. [read post]
20 Nov 2020, 12:54 pm
Miller Stern Lawyers – 410-Law-Firm is currently investigating clients of Morgan Stanley who are victims of, and suffered damages and losses, due to these abuses. [read post]
20 Nov 2020, 12:11 pm
Nationwide Investigation into Former Advisor Program leaves Morgan Stanley Brokers Unemployed Morgan Stanley has reportedly fired several brokers over alleged abuses in its Former Advisor Program, according to Advisor Hub this week. [read post]
20 Nov 2020, 7:45 am
Peter Walsworth Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
FORT LAUDERDALE BUSINESS LITIGATION: PRIVACY CAN BE PROTECTED THROUGH FORENSIC EXAMINATION PROTOCOLS
18 Nov 2020, 7:41 pm
Morgan Stanley & Co. [read post]
16 Nov 2020, 11:09 am
Burns, president of Carnegie; Andrew Bailey, governor of the Bank of England; Jim Langevin, U.S. representative for Rhode Island; Jeremy Jurgens, managing director and head of the Centre for Cybersecurity at the World Economic Forum; Jen Easterly, global head of the Fusion Resilience Center at Morgan Stanley; Cheri McGuire, nonresident scholar with the Cyber Policy Initiative at Carnegie; Ramy Houssaini, global chief cyber and technology risk officer at BNP Paribas; Boris Ruge,… [read post]
