Search for: "Morgan Stanley at Work and Above The Law"
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24 Nov 2024, 9:01 pm
In addition, the Commission filed settled charges with strong financial remedies against: Morgan Stanley for a multi-year fraud involving the disclosure of confidential information about the sale of large quantities of stock known as “block trades. [read post]
4 Jan 2010, 2:22 pm
Be a student of the job above you. [read post]
4 Aug 2020, 4:00 am
Klotz’s BrokerCheck Report, including one arbitration entered in favor of a customer and two other claims when he was employed at Morgan Stanley that were settled. [read post]
5 Jul 2009, 3:31 pm
However, conclusive evidence of all five factors establishes a partnership as a matter of law. [read post]
6 Mar 2007, 2:29 pm
Your point is probably well-taken, but what about the legions entering the starting classes at Morgan Stanley, Goldman Sachs, Citigroup, UBS, etc., etc.? [read post]
8 May 2012, 11:06 am
Sibal also referred to the decision of this Court in Morgan Stanley Mutual Fund Vs. [read post]
13 Jan 2021, 9:01 pm
Multiple third parties such as Morgan Stanley, AT&T, and Dow are also exacting judgment by withholding donations to “lawmakers who voted against the counting of Biden’s electoral votes,” and the Lincoln Project “promis[es] to target companies that donate to any lawmakers who voted against the counting of the electoral votes. [read post]
18 Nov 2007, 6:15 pm
Therefore, the SWG has been working on these issues and tries to reach on consensus on the mechanism of the Protocol. [read post]
24 May 2012, 6:51 am
Another concern with FB's IPO is the possibility that FB, and its lead underwriters including Morgan Stanley, J.P. [read post]
15 Jan 2014, 12:11 am
The banks that have been identified or made announcements regarding Forex regulatory investigations to date include: Barclays, Citigroup, Inc., Credit Suisse AG, Deutsche Bank, Goldman Sachs Group, HSBC, JP Morgan Chase & Co., Morgan Stanley, Royal Bank of Scotland, Standard Chartered and UBS. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
2 Jan 2022, 7:24 am
The most significant factor in the 2021 drop-off was the decline in the number of federal court merger objection class action lawsuit filings during the year, although there were other factors at work as well. [read post]
4 Dec 2023, 1:11 am
The requirements for the ARR under UK law, combined with trends of financialization among auction houses, functionally limit the scope of this moral right to the art world’s most known and celebrated names. [read post]
14 Feb 2012, 2:09 am
The US policy approach to globalization was determined by the "unfettered market" approach of the Chicago School--what Naomi Klein referred to in her insightful book as "The Shock Doctrine" (which is a good description of what Grecians are undergoing now in order to satisfy Morgan Stanley, Goldman Sachs and the other big multinational banks who hold a good deal of Greece's debt). [read post]
16 Oct 2022, 10:19 am
” “Reopening appears the remaining meaningful tool to manage the economy,” wrote Morgan Stanley analysts in a recent note. [read post]
10 Feb 2016, 4:04 am
You’ve worked in a law firm, so you’ve seen it from about every side and I know it’s something you care deeply about. [read post]
1 Nov 2010, 7:13 am
An idea that’s supposed to stop people from walking away from underwater mortgages, brought to Wall Street by the guy who as a bond trader during the bubble cost Morgan Stanley $9 billion… this one you’re not going to believe. [read post]
6 Oct 2018, 1:00 am
By the same token, they’re willing to delegate that work out. [read post]
26 Feb 2012, 5:12 am
Morgan Stanley Credit Suisse Group Citigroup Bank of America Kirkland & Ellis Barclays HIG Capital (Private Equity firm.) [read post]
11 Sep 2007, 2:49 am
The above quote seems to reflect the Wall Street Journal and CNN view of conducting business in Russia, who repeatedly caution their readers and viewers about investing in Russia's emerging markets. [read post]
