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18 Sep 2007, 11:20 pm
" A Morgan Stanley spokesperson called the case an isolated one. [read post]
26 Apr 2012, 8:36 am
Peterson pled guilty to one count of conspiring to evade Morgan Stanley's internal controls. [read post]
5 May 2009, 4:44 am
The insider trading trial of a former Morgan Stanley investment banker has begun in Hong Kong. [read post]
28 Sep 2007, 4:18 pm
Morgan Stanley presumably had lost millions of pre-9/11 e-mails, but it was later discovered that they had been restored to the company's active e-mail system using backup tapes, which were stored in another location. [read post]
4 Oct 2011, 6:26 pm
Morgan Stanley executives have been rallying employees and talking to the company's biggest shareholders to reassure them. [read post]
21 Mar 2007, 5:40 am
By K&L Gates Morgan Stanley & Co., Inc. v. [read post]
8 Dec 2008, 2:15 pm
We called Cravath partner Daniel Slifkin, who's handling the case for Morgan Stanley along with presiding partner Evan Chesler, but he referred us to Morgan Stanley. [read post]
25 Nov 2015, 8:11 am
The White Law Group is specifically looking at the following Morgan Stanley structured notes: Morgan Stanley Structured Notes tied to Crude Oil Morgan Stanley Structured Notes tied to Steel Morgan Stanley Structured Notes tied to Copper Morgan Stanley Structured Notes tied to Nickel Morgan Stanley Structured Notes tied to Natural Gas Morgan Stanley Structured Notes tied to… [read post]
30 Apr 2021, 7:27 am
Shapira has reportedly been affiliated with Morgan Stanley in New York, NY for eleven years, according to his BrokerCheck record. [read post]
27 Apr 2018, 11:17 am
FINRA Arbitration Panel Awards Morgan Stanley for $6 M for Damages According to a FINRA award document, a FINRA arbitration panel has ordered former Morgan Stanley rep, Barry Connell, to pay the wirehouse $6 million in compensatory damages and interest. [read post]
26 Jun 2015, 6:34 am
Morgan Securities LLC (collectively “JPMorgan”) moved to renew a motion, before the United States District Court for the District of New Jersey, seeking a preliminary injunction (the “Motion”) against six (6) former registered representatives (the “Brokers”), who left JPMorgan to join Morgan Stanley. [read post]
28 Jul 2009, 1:00 pm
Morgan Stanley will pay $500,000 to settle SEC charges that it recommended unapproved money managers to clients without any due diligence review. [read post]
12 Aug 2010, 5:14 am
A congregation of 88 Irish investors -- among them hundreds of nuns -- have accused Morgan Stanley and others of costing them about 5 million euros in a note issue gone wrong. [read post]
9 Dec 2013, 8:29 am
While by no means the worst offender, Morgan Stanley is the latest. [read post]
6 Jul 2011, 10:11 pm
• Deutsche Bank AG • Credit Suisse Group AG Related Web Resources: Morgan Stanley Sued by Allstate Over Mortgage Securities Fraud Claims, Bloomberg, July 6, 2011 Allstate adds Morgan Stanley to RMBS litigation pool, Housing Wires, July 6, 2011 More Blog Posts: Bank of America Cop. [read post]
9 Aug 2019, 5:38 am
A FINRA arbitration case initiated by Morgan Stanley is still pending. [read post]
15 May 2010, 9:45 am
” Meanwhile Morgan Stanley held a short position and profited on the Baldwin deals. [read post]
14 Jun 2011, 9:39 pm
Morgan Stanley, N.Y. [read post]
7 May 2012, 2:07 pm
FINRA recently has announced that it has sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
21 Mar 2007, 4:48 pm
Morgan Stanley received some good news today: A Florida appeals court overturned a $1.57 billion award against the investment bank for defrauding billionaire investor Ron Perelman by concealing material information from him in the course of handling the sale of... [read post]
