Search for: "Morgan Stanley, Inc."
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18 Dec 2017, 2:06 pm
From February 2011 through November 2014 Paynter was associated with Morgan Stanley. [read post]
7 Apr 2008, 12:26 pm
Other firms such as Merrill Lynch, Citigroup Inc. and Morgan Stanley have opted not to mark down customer portfolios even though many firms are marking down auction-rate securities in their own portfolios. [read post]
31 Oct 2018, 5:57 am
He worked for Purshe Kaplan Sterling Investments in Portland, Oregon from July 15, 2014 until October 6, 2015, and with Morgan Stanley in Vancouver, Washington from June 1, 2009 until July 24, 2014. [read post]
9 Jan 2020, 4:34 am
They state a claim for malpractice and breach of fiduciary duty–both of which have a three-year statute of limitations because defendants exclusively seek monetary damages (IDT Corp. v Morgan Stanley Dean Witter & Co., 12 NY3d 132, 139 [2009]; Matter of R.M Kliment & Frances Hals band, Architects, 3 NY3d 538, 541 [2004]). [read post]
19 Jan 2019, 11:22 am
Joshua Mischke, who is not currently registered with a brokerage, started his career with Morgan Stanley & Co. [read post]
2 May 2008, 1:03 am
Morgan Stanley Dean Witter & Co. [read post]
5 Apr 2012, 1:05 pm
According to her LinkedIn Profile, Olivarius’s experience includes (emphasis added): Having initially developed corporate finance skills at Morgan Stanley and Goldman Sachs, her legal career includes service as General Counsel, CEO and Director of Scientific Programs of a medical foundation with assets valued at over $100 million (in 1991), and as a legal and strategic financial advisor for Perot Systems and Computer Memories, Inc. [read post]
5 Jul 2009, 10:44 pm
Grigg further falsely represented that ProTrust had partnerships or special relationships with large investment firms such as Berkshire Hathaway, Inc., Goldman Sachs & Co. and Morgan Stanley & Co. [read post]
8 Sep 2009, 9:58 am
., Inc.., 499 F.3d 520 (6th Cir. 2007) [pdf.]) [read post]
3 Mar 2023, 6:30 am
Posted by Lindsey Stewart, Morningstar, Inc, on Monday, February 27, 2023 Tags: Asset Managers, Climate change, Corporate Social Responsibility, ESG, Proxy voting, Shareholder activism Equal Treatment for U.S. [read post]
1 May 2012, 5:41 pm
Robert Burney - Integrity Financial, Inc. [read post]
29 Jan 2016, 9:01 am
Tortoise funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Mid Atlantic Capital Corp, Morgan Stanley, Pershing FundCenter, Shareholders Services Group, JPMorgan, Fidelity Institutional, FundsNetwork, MSSB Retail Fund, Raymond James, CommonWealth Universe, RBC Wealth Management, Mid Atlantic Capital Group, MSWM Brokerage, and Securities America Inc. [read post]
8 Sep 2009, 6:03 pm
§ 2 (2009); see also In re Morgan Stanley & Co., Inc., No. 07-0665, 2009 WL 1901635, at *1 (Tex. [read post]
10 Jul 2009, 2:28 pm
In Brooklyn, former Morgan Stanley stock lending supervisor Darin Demizio was just sentenced to 38 months in prison, followed by 3 years supervised release, for his conviction in a kickback case involving stock lending on Wall Street. [read post]
14 Sep 2016, 1:05 pm
From June 2009 until October 2014 Cowans was registered with Morgan Stanley. [read post]
3 Mar 2023, 6:30 am
Posted by Lindsey Stewart, Morningstar, Inc, on Monday, February 27, 2023 Tags: Asset Managers, Climate change, Corporate Social Responsibility, ESG, Proxy voting, Shareholder activism Equal Treatment for U.S. [read post]
25 Jun 2008, 3:02 pm
" The three argued cases in which decisions remain to be issued are: (1) Morgan Stanley Capital Group Inc. v. [read post]
24 Mar 2022, 8:45 am
Prior to working for Ninepoint Advisors, Salamah was reportedly affiliated with the following firms during his career, among others, according to FINRA: 08/20/2010 – 02/07/2013, MORGAN STANLEY (CRD#:149777), ROCKFORD, IL, 02/11/2005 – 09/02/2010, METLIFE SECURITIES INC. [read post]
31 Aug 2009, 3:55 am
., WINDELS MARX LANE & MITTENDORF, LLP, STANLEY GALLANT, GALSTER CAPITAL LLC, GARLSTER MANAGEMENT CORP., ALLSTATE INSURANCE COMPANY, AND JP MORGAN CHASE BANK, N.A., Curiously, Footnote 3 seems to say that the entire case has been dismissed. [read post]
23 Jul 2008, 12:26 pm
The chief legal officer for New York-based Morgan Stanley debuted on Corporate Counsel's annual survey of general counsel compensation with a whopping $6.3 million bonus. [read post]
