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28 May 2020, 12:00 am
Morgan Stanley Smith Barney Agrees to $5,000,000 Settlement Fund to Benefit Harmed Investors In a release dated May 12, 2020, the Securities Exchange Commission announced that Morgan Stanley Smith Barney agreed to settle charges that it provided misleading information to clients in its Retail Wrap Fee Programs regarding trade execution services and transaction costs. [read post]
27 May 2020, 7:48 am
Silver Law Group is familiar of multiple cases, including a Morgan Stanley broker who was accused of forging an institutional customer’s signature on loan documents. [read post]
22 May 2020, 10:53 am
Morgan Stanley, without admitting or denying the wrongdoing, agreed to pay $5 million to settle the SEC charges. [read post]
21 May 2020, 7:12 am
Karney, Amogh McGuire, Jesse JP Morgan Securities LLC Chase Investment Services Corp. [read post]
21 May 2020, 7:05 am
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Cline, Kevin Source Capital Group, Inc Ridgemont Securities, Inc Delaney, Maxwell Brill Securities, Inc National Securities Corporation Henrich, Todd National Securities Corp Obsidian Financial Group … [read post]
20 May 2020, 2:17 pm
Morgan Securities LLC HSBS Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Group, Inc Bailey, Michael PFS Investments Inc Bisch, Sarah Santander Securities LLC Edward Jones Bishop, Tywan Charles Schwab & Co., Inc E Trade Securities LLC Borja, Mauricio Allstate Financial Services, LLC Botner, Ryan MML Investors Securities, LLC … [read post]
20 May 2020, 1:57 pm
Stifel, Nicolus & Company, Inc Sterne, Agee & Leach, Inc Kievman, Cary Ameriprise Financial Services, Inc Morgan Stanley Smith Barney Krupnick, Jeffrey Ameriprise Financial Services, Inc JHS Capital Advisors, LLC Lake, Jonathan Wells Fargo Clearing Services, LLC Morgan Stanley McCutchen, Jerry Sr. [read post]
19 May 2020, 6:32 pm
In the second case, Morgan Stanley Smith Barney was penalized $1 million for lacking policies and procedures that should have prevented an employee, who was later hacked by a third party, from downloading and transferring confidential customer data to his personal server at home. [read post]
18 May 2020, 10:19 am
Continue Reading › The post Morgan Stanley Sued for Unsuitable Recommendations Over Harvest Volatility Strategy, MLPs and Other Complex Investments Made To A Texas Investor appeared first on Investor Lawyers Blog. [read post]
18 May 2020, 2:00 am
Many large employers, such as Bank of America; Danone; Morgan Stanley; and our own parent company, Marsh & McLennan, are pledging not to lay off workers amid the coronavirus crisis. [read post]
15 May 2020, 2:45 pm
The banking consortium includes Citigroup, Credit Agricole CIB, Goldman Sachs, Mizuho Securities and Morgan Stanley. [read post]
15 May 2020, 5:57 am
" Morgan Stanley Group, Inc. v. [read post]
15 May 2020, 2:01 am
Often, what makes leaders and workplace cultures great is that they are warm and demanding. [read post]
13 May 2020, 1:47 pm
These words mean different, diametrically opposite things in Jim Gorman’s homeland. [read post]
12 May 2020, 5:56 am
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC (MSSB) has agreed to settle charges that it provided misleading information to clients in its retail wrap fee programs regarding trade execution services and…Read the Full Press ReleaseHave a securities law question? [read post]
8 May 2020, 9:47 am
Christian Evans Morgan Stanley Highland Capital Funds Distributor, Inc. [read post]
8 May 2020, 9:25 am
Damion Smith Morgan Stanley UBS Financial Services Inc. [read post]
8 May 2020, 7:33 am
Prior to joining FSC Securities Corporation, Fox was registered with Morgan Stanley and Janney Montgomery Scott LLC. [read post]
8 May 2020, 6:31 am
SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via EmailIn the Matter of Sune Gaulsh, Respondent (FINRA AWC)FINRA Imposes Fine and Suspension for Rep's Fraternal Benefit Society Short-cutIn the Matter of Robert Nordaune, Respondent (FINRA AWC)CityMD mistakenly told… [read post]
8 May 2020, 6:31 am
FINRA Arbitrators Award Severance to Former Barclays Employee (BrokeAndBroker.com Blog)How Citigroup, Morgan Stanley Are Returning to Offices in Asia (Bloomberg by Cathy Chan and Alfred Liu)The Work-From-Home Trader Who Shook Global Markets / A new book reveals fresh details about the man authorities blamed for the Flash Crash that erased $1 trillion of value in a matter of minutes. [read post]
