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1 May 2014, 6:40 am
As such, Respondent is liable for and shall pay to Claimant the amount of $237,326.00 minus $40,000.00 awarded to Respondent, for a net amount due to Claimant of $197,326.00. 11-03662 Morgan Stanley Smith Barney LLC; Morgan Stanley Smith Barney FA Notes Holdings LLC, Morgan Stanley & Co., LLC John Darold Simmons Respondent to pay $546,336.00 in compensatory damages, which amount includes pre-judgment interest. [read post]
15 Apr 2014, 9:36 am
Morgan Clearing Corp. [read post]
7 Apr 2014, 7:01 am
The law offices of Gana LLP recently filed a complaint against RBC Capital Markets, LLC (RBC) and Morgan Stanley Smith Barney, LLC (Morgan Stanley) accusing their registered representative Bruce Weinstein (Weinstein) of churning (excessive trading) and making unsuitable recommendations. [read post]
2 Apr 2014, 11:40 am
Morgan, supra. [read post]
1 Apr 2014, 5:42 am
Mallett is also associated or is involved in Biltmore Wealth Advisors, LLC, Capital Financial Management, Ltd, South Race Street, LLC, Red Rock, LLC, Mango Lizard LLC, and EZ Plan LLC. [read post]
20 Mar 2014, 5:00 am
It sounds like the firm failed secure the information. [read post]
18 Mar 2014, 1:12 pm
Aninat Schwencke & Cia has a well balanced mix of local and foreign clients, among which some of its most representative include Aaktei, Aguas del Valle, Actis, Acon Investment Private Equity Fund, AGSA Construction, Amarant Mining, American Science and Engineering Inc, Alluvia Mining, American Bridge, Amundi, Asociación Nacional de Supermercados (ASACH), Athelera, Ariba, Austral Capital Private Equity Fund, Balfour Beatty Group, Banco Falabella, Big John, BHP Billiton, Blackrock, BTG… [read post]
17 Mar 2014, 4:09 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
10 Mar 2014, 10:55 am
Morgan Securities, Inc. [read post]
4 Feb 2014, 9:56 am
On the flip side, in Ardis Health LLC v. [read post]
22 Jan 2014, 2:38 am
In the Matter of Magnolia Gaerlan, Respondent (AWC 2013036717601, January 15, 2014).In 1996, Gaerlan entered the securities industry and by 2009 she was employed at Morgan Stanley Smith Barney LLC as a registered sales assistant until her resig... [read post]
14 Jan 2014, 9:48 am
Beatport, LLC, No. 10-2912 (D. [read post]
27 Dec 2013, 5:29 am
Madoff Investment Securities LLC (“Madoff LLC”... [read post]
20 Dec 2013, 8:53 am
Related ArticlesJP Morgan Chase Sued Over Billions in Fraudulent Mortgage-Backed SecuritiesFINRA Boss Cautions Industry About Complex Products Clock is Ticking on Claims for Residential Mortgage-Backed Securities New Jersey Mortgage Backed Securities Fraud Suit Targets Credit Suisse Securities [read post]
11 Dec 2013, 7:03 am
Morgan Securities LLC (J.P. [read post]
22 Nov 2013, 6:00 am
The company hired JP Morgan Securities LLC to help market the sale of its Panhandle property. [read post]
5 Nov 2013, 1:56 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
5 Nov 2013, 6:03 am
Investors in the Merrill Lynch Systematic Moment FuturesAccess LLC fund lost $135.3 million from 2009 to 2012 after fees were deducted. [read post]
28 Oct 2013, 11:17 am
FSAM originally purchased the RMBS from Morgan Stanley in 2006 and 2007, but in 2009, assigned the securities to Dexia in a put option transaction. [read post]
16 Oct 2013, 11:45 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
