Search for: "Morgan Stanley, Inc."
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14 Nov 2011, 8:32 am
Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal bond transactions, and related supervision violations. [read post]
13 Nov 2011, 10:06 am
Morgan Stanley Mortg. [read post]
11 Nov 2011, 10:03 am
Morgan Stanley andamp; Co. [read post]
11 Nov 2011, 9:15 am
Here are some highlights: Update on Post-Financial Crisis Litigation: Scott Tucker of Morgan Stanley says he has dealt with a lot of financial crisis litigation. [read post]
10 Nov 2011, 12:52 pm
FINRA announced today that it fined Morgan Stanley & Co. [read post]
10 Nov 2011, 12:52 pm
FINRA announced today that it fined Morgan Stanley & Co. [read post]
26 Oct 2011, 7:02 am
Richard Shepherd – Former Vice-President and General Counsel for Saxon Mortgage (now Morgan Stanley) Margery Golant – Former Assistant General Counsel at Ocwen Financial Corporation and Department Manager of a major plaintiff? [read post]
21 Oct 2011, 4:59 pm
Financial services firms Barclays Capital, Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., and Morgan Stanley & Co., Inc., (the Firms) sued news aggregator (pdf) Theflyonthewall.com (Fly) for copyright infringement and for committing the New York state law tort of “hot news” misappropriation. [read post]
21 Oct 2011, 2:03 pm
Inc. until early November 2008. [read post]
5 Oct 2011, 3:11 am
Secret Memo Tells All - http://bit.ly/qgTTf1 (David Kravets) Why Twitter is Important for the Financial Professional - http://bit.ly/nGuCB4 (Mike Langford) Wrong Way: Technology and People Can Crash During Trials - http://bit.ly/qLfJ6i (Robyn Weisman) Twitter Hashtags of the Week #eDiscovery #eDisclosure #Masters11 #EDI2011 Vendor Views Industry Landscape AccessData® Announces Computer Forensics Software Replacement Program - http://bit.ly/oNYbcI (Business Wire) Altep, Inc. to… [read post]
3 Oct 2011, 3:58 pm
The proposed consent decree, if approved by the court, would resolve the Antitrust Division’s complaint.According to the complaint, KeySpan and Morgan Stanley Capital Group, Inc. [read post]
21 Sep 2011, 3:52 am
African-American employees sued, charging that their employer, Morgan Stanley and Company [Owens v Morgan Stanley & Co., USDC, SDNY], denied them promotions because of racial discrimination in violation of Title VII and introduced as evidence racially insensitive e-mail messages transmitted via Morgan Stanley's computers. 2. [read post]
15 Sep 2011, 12:10 pm
Morgan Stanley Smith Barney, or more accurately, its predecessor Morgan Stanley andamp; Co., the Morgan Stanley part of the June 2009 joint venture with Morgan Stanley andamp; Co. and the Smith Barney division of Citigroup Global Markets, Inc., is no stranger to e-mail problems. [read post]
15 Sep 2011, 8:44 am
Today, the Federal Securities Law Blog takes a look back at the last 30 days in the world of securities-related litigation in a regular feature which appears on approximately the 15th of each month. [read post]
7 Sep 2011, 1:31 pm
Morgan Stanley & Co, Inc., No. 08 Civ. 7508(SAS), 2011 WL 3738979 (S.D.N.Y. [read post]
6 Sep 2011, 9:37 am
On Friday September 2, the Federal Housing Finance Agency, as conservator for Fannie Mae and Freddie Mac, filed lawsuits in state and federal court in New York and Connecticut against 17 different financial institutions (including Bank of America, Citigroup, Credit Suisse, Deutsche Bank, Morgan Stanley and JP Morgan), certain of their officers and various underwriters, alleging violations of the federal securities laws and common law relating to the sale of mortgage-backed… [read post]
4 Sep 2011, 2:05 pm
Morgan Stanley 15. [read post]
2 Sep 2011, 3:14 pm
Morgan Stanley Nomura Holding America Inc. [read post]
1 Sep 2011, 11:58 am
Similarly, in February of this year, John Edward Mullins, a former stockbroker with Morgan Stanley was found to have converted and misused the funds of a charitable foundation. [read post]
29 Aug 2011, 8:44 am
Here's a look at the top ten companies in terms of the bailout and how much each company received in loans from the government, according to Bloomberg: Morgan Stanley: $107 Billion Citigroup: $99.5 Billion Bank of America: $91.4 Billion Royal Bank of Scotland Group: $84.5 Billion State Street Corp.: $77.8 Billion USB AG: $77.2 Billion Goldman Sachs Group Inc: $69 Billion JPMorgan Chase & Co.: $68.6 Billion Deutsche Bank AG: $66 Billion Barclays Plc:… [read post]
