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8 Jun 2015, 8:43 am
Morgan Stanley has stated that the firm is fighting the allegations and that the claims are “without merit. [read post]
11 Dec 2014, 2:02 pm
Morgan Stanley will pay $4 million to settle charges that it failed to stop a rogue Rochdale Securities LLC trader from fraudulently buying $525 million in Apple stock in 2012.For more information, go to Morgan Stanley Fined $4 Million for Role in Fraudulent Apple Trades - WSJ---The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
17 Nov 2011, 12:17 pm
The plaintiffs – a group of Singapore retail investors – allege that Morgan Stanley committed fraud in selling them sold them $154.7 million of Pinnacle Notes. [read post]
22 Jun 2007, 3:48 pm
Morgan Hit for Faulty Oversight, Investment News, June 22, 2007 Morgan Stanley Draws $500K Fine For Churning Accounts, Smart Money, June 14, 2007 Related Web Resources: Morgan Stanley [read post]
26 Mar 2021, 11:56 am
Carter was reportedly affiliated with Morgan Stanley from 2009 until 2011 and then had a brief stint at Ameriprise. [read post]
27 Jul 2009, 3:00 pm
Morgan Stanley & Co. [read post]
6 Nov 2008, 11:28 am
Morgan Stanley: 7th Circuit Holds Board â [read post]
3 Oct 2008, 11:36 am
Morgan Stanley is looking at scaling back its prime-brokerage operation, selling assets or buying a faltering regional bank, The New York Post reported. [read post]
25 Mar 2009, 6:58 am
Mitsubishi UFJ Financial Group will likely merge its brokerage firm unit with Morgan Stanley Japan, a deal that would create Japan's third largest brokerage firm in terms of operating revenue, The Wall Street Journal reported, citing a person familiar with the matter. [read post]
26 Jan 2016, 4:14 am
Three public customers sued FINRA member firm Morgan Stanley Smith Barney for $1.28 million in damages. [read post]
9 Jul 2007, 1:31 pm
Morgan Stanley & Co. [read post]
17 Apr 2018, 5:19 pm
According to FINRA Brokercheck, Polese was registered with Morgan Stanley from May 2010 until he was fired last June. [read post]
3 Mar 2016, 7:24 am
The Morgan Stanley Cushing MLP High Income Index ETN is an exchange-traded note issued by Morgan Stanley. [read post]
4 Jan 2011, 10:36 am
Eric has built and led an exceptional legal team since joining Morgan Stanley in 2006. [read post]
16 Sep 2015, 9:20 am
As reported in ‘Troubling’ New Arbitration System Brewing at Morgan Stanley (Wealthmanagement.com by Megan Leonhardt, September 22, 2015), Morgan Stanley is rolling out a so-called internal arbitration forum under the clunky name of "Convenient Access to Resolutions for Employees" or CARE. [read post]
15 Oct 2021, 12:10 pm
Morgan Stanley sought a temporary r... [read post]
9 Aug 2015, 2:56 pm
The Financial Industry Regulatory Authority (FINRA) issued a press release concerning two settlements fining Morgan Stanley Smith Barney, LLC (Morgan Stanley) $650,000 and Scottrade, Inc. $300,000 for failing to implement reasonable supervisory systems to monitor the transmittal of customer funds to third-party accounts. [read post]
14 Dec 2007, 9:32 am
Morgan Stanley & Co. [read post]
28 Sep 2012, 11:48 am
The court’s decision was the most recent development in the ongoing saga surrounding KeySpan and Morgan Stanley’s manipulation of capacity auction for [...] [read post]
12 Jan 2012, 9:13 am
Another class action lawsuit has been filed against KeySpan Corporation (KeySpan) and Morgan Stanley Capital Group Inc. [read post]
