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3 Jan 2019, 5:48 am by Silver Law Group
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS    Albin, William   Waddell & Reed   Metlife Securities Inc   Allen, David   Avenir Financial Group   Gunnallen Financial, Inc   Boupon, Kean   Morgan Stanley   Merrill Lynch, Pierce, Fenner & Smith… [read post]
29 Jan 2018, 2:34 pm by J. Scott Humphrey and Marcus Mintz
Nor will UBS and Morgan Stanley brokers be allowed to ignore any non-compete or non-solicit obligations found in their Morgan Stanley/UBS agreements. [read post]
6 Jun 2020, 5:27 am by Stoltmann Law Offices
Chicago-based Stoltmann Law Offices has represented investors who’ve suffered losses from dealing with unscrupulous financial advisors selling municipal bonds and municipal bond funds One of the most prominent trouble spots for investors have been mutual funds and single bonds issued by Puerto Rico, which was slammed by a long-standing debt crisis in recent years in addition to a devastating hurricane and breakdown of its infrastructure. [read post]
14 Sep 2010, 11:41 am by Paul Levy
by Paul Alan LevyFor several years, Dominic Morgan and the principals of the Nevyas Eye Clinic have been jousting over Morgan’s contention that, by performing inappropriate lasik surgery on him in 1998, and overlooking indications that he was not a good candidate for such surgery, the Nevyases are responsible for making him legally blind. [read post]
6 Jun 2008, 1:40 pm
After Morgan's hiring of Pitcock was touted as a coup -- in IP Law360, and in a Morgan press release -- Kasowitz issued a statement claiming they fired him for "extremely inappropriate personal conduct. [read post]
29 May 2019, 11:06 am by Christie D. Arkovich, P.A.
JP Morgan Chase Bank, Nat’l Ass’n, the 11th Circuit, the appellate court governing the State of Florida, held that a class action could not go forward against the furnisher of consumer information because it (JP Morgan Chase) was not notified of the dispute. [read post]
10 Dec 2009, 1:05 pm by Fei-Lu Qian
Another compelling finding is that the six major banks, Bank of America, Citigroup, Goldman Sachs, JP Morgan Chase, Morgan Stanley, and Wells Fargo are setting aside $112 billion for compensation and bonuses. [read post]
8 May 2012, 5:15 pm
 The Court took particular care to avoid ruling on a preemption issue raised by Morgan where Morgan argued that a New Jersey State case, Lefever v. [read post]
29 Mar 2011, 6:08 am
Norris was the one-time CEO of Morgan Crucible Company plc (“Morgan”), a British carbon and ceramic products manufacturer. [read post]
6 May 2009, 12:38 pm
Morgan, Lewis & Bockius e-mailed Valdivieso last month that it would have to defer his employment for a year, until the fall of 2010. [read post]
31 Jan 2019, 8:04 am by Zamansky
The Financial Industry Regulatory Authority (FINRA) has oversight over all major brokerage firms operating in the United States (including UBS Financial Services, Credit Suisse, Merrill Lynch and Morgan Stanley), and these firms are required to arbitrate loss claims filed by individual investors. [read post]