Search for: "Morgan Stanley, Inc."
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15 Nov 2018, 4:00 am
(GS), Deutsche Bank AG (DB), Morgan Stanley (MS), and JPMorgan Case & Co. [read post]
15 Sep 2010, 9:28 am
John Havens 2009 Total Compensation: $11,276,454 Morgan Stanley Walid Chammah 2009 Total Compensation: $10,021,969 The Goldman Sachs Group Inc. [read post]
20 Jul 2015, 4:58 pm
Eight U.S. firms are currently expected to be identified as GSIBs under the final rule: Bank of America Corporation; The Bank of New York Mellon Corporation; Citigroup, Inc.; The Goldman Sachs Group, Inc.; JPMorgan Chase & Co.; Morgan Stanley; State Street Corporation; and Wells Fargo & Company…Like the proposal issued in December 2014, the final rule requires GSIBs to calculate their surcharges under two methods and use the higher of the two… [read post]
8 Aug 2007, 1:23 am
Morgan Stanley Dean Witter & Co. [read post]
29 Jul 2020, 12:30 pm
Morgan Securities LLC Great Point Capital, LLC Stanley Martin Allstate Financial Services, LLC H&R Block Financial Advisors, Inc. [read post]
8 Nov 2021, 1:27 pm
Ricardo Uliambre Morgan Stanley Smith Barney LLC UBS Financial Services Inc. [read post]
21 Mar 2008, 1:22 am
Morgan Stanley & Co. [read post]
30 Jan 2020, 10:49 am
Morgan Stanley – California – $150 million. [read post]
26 Mar 2012, 7:12 am
Morgan Chase & Co. and Morgan Stanley, already have rules or guidelines that forbid senior industry and M&A bankers from directly owning or trading securities of companies in sectors or clients they cover, people familiar with the matter said. [read post]
3 Feb 2016, 9:42 am
These MainStay Cushing funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Cetera Advisors LLC, Mid Atlantic Capital Corp., JPMorgan, Ameriprise Brokerage, Raymond James, RBC Wealth Management, Morgan Stanley, and Securities America Inc. [read post]
26 Aug 2014, 10:13 am
LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLCAdministrative Proceeding File No. [read post]
9 Dec 2009, 8:22 pm
(post available here) Perhaps the most significant case decided this year by the Texas Supreme Court was In re Morgan Stanley & Co., Inc. [read post]
3 Jan 2020, 1:27 pm
Fedex Office & Print Servs., Inc. [read post]
16 Jun 2023, 9:54 am
Morgan Securities LLC Mulan Greenway Joshua Lovings Josette Santos Wells Fargo Clearing Services, LLC Harold Stephenson LPL Financial LLC Herrmann Securities, Inc. [read post]
5 Jul 2022, 9:16 am
Morgan Stanley Smith Barney For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
19 Aug 2008, 4:57 pm
For example, in the months leading up to the collapse, JP Morgan Securities, Inc., Lehman Brothers, Morgan Stanley, Bear Stearns Cos. and Merrill Lynch & Co. warned the Commonwealth of Massachusetts that the auction-rate markets were in trouble and that the state should consider refinancing some of its debt. [read post]
19 Feb 2010, 2:29 pm
Morgan Stanley, Goldman Sachs Group Inc., and Countrywide Financial Corp., now a part of Bank of America, are also defendants in other similar suits. [read post]
7 Aug 2007, 11:03 am
Morgan Stanley's failure to supervise lead to a number of consequences. [read post]
1 Jun 2022, 9:16 am
AIG Capital Services, Inc Jun Ouyang Morgan Stanley & Co., LLC Stephen Wenske Edward Jones FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
22 Sep 2021, 8:30 am
Daniel Della Rosa Corinthian Partners, LLC Paulson Investment Company LLC Morgan Engbrecht Horace Mann Investors, Inc. [read post]
