Search for: "IN RE MORGAN STANLEY"
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13 Jan 2021, 9:01 pm
Multiple third parties such as Morgan Stanley, AT&T, and Dow are also exacting judgment by withholding donations to “lawmakers who voted against the counting of Biden’s electoral votes,” and the Lincoln Project “promis[es] to target companies that donate to any lawmakers who voted against the counting of the electoral votes. [read post]
16 Nov 2020, 11:09 am
Burns, president of Carnegie; Andrew Bailey, governor of the Bank of England; Jim Langevin, U.S. representative for Rhode Island; Jeremy Jurgens, managing director and head of the Centre for Cybersecurity at the World Economic Forum; Jen Easterly, global head of the Fusion Resilience Center at Morgan Stanley; Cheri McGuire, nonresident scholar with the Cyber Policy Initiative at Carnegie; Ramy Houssaini, global chief cyber and technology risk officer at BNP Paribas; Boris Ruge,… [read post]
30 Oct 2020, 10:28 am
This April, Guaranteed Rate agreed to pay $15 million to resolve similar allegations; in April 2019, Morgan Stanley agreed to pay $150 million to settle allegations of impropriety in selling RMBS to California’s public unions; that same month, GE paid $1.5 billion to resolve their own RMBS-related allegations. [read post]
9 Sep 2020, 12:51 pm
" The report, called "Managing Climate Risk in the US Financial System," was written by a group of 35 advisors from major banks such as Morgan Stanley and JPMorgan Chase, environmental groups such as The Nature Conservancy and Ceres, energy firms such as BP and ConocoPhillips, several investment firms, and experts from several universities. [read post]
31 Aug 2020, 3:03 am
” The disclosure is clear that the banks are conducting investors communications & presentations only in connection with “investor education” and not to coordinate price discovery or sales…but it also says that the designated market maker will consult with Morgan Stanley on the opening public price, who will provide input based on pre-listing selling & buying interest that it becomes aware of. [read post]
4 Aug 2020, 6:53 am
Abbonizio (CRD# 2787112) – previously registered with Morgan Stanley, Wells Fargo, Oppenheimer & Co with four (4) customer complaints) and Dean J. [read post]
27 Jul 2020, 3:00 am
Sometimes, they even specified the color of ink to be used (“Morgan Stanley blue” anyone?). [read post]
24 Jun 2020, 6:29 am
He started his career working with Morgan Stanley DW Inc. in 1999. [read post]
24 Jun 2020, 6:29 am
He started his career working with Morgan Stanley DW Inc. in 1999. [read post]
18 May 2020, 2:00 am
Many large employers, such as Bank of America; Danone; Morgan Stanley; and our own parent company, Marsh & McLennan, are pledging not to lay off workers amid the coronavirus crisis. [read post]
15 May 2020, 2:01 am
I really like the idea of looking at culture as an export because then, that means you’re ideally aligning your employer brand with your culture, right? [read post]
8 May 2020, 6:31 am
SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via EmailIn the Matter of Sune Gaulsh, Respondent (FINRA AWC)FINRA Imposes Fine and Suspension for Rep's Fraternal Benefit Society Short-cutIn the Matter of Robert Nordaune, Respondent (FINRA AWC)CityMD mistakenly told… [read post]
30 Mar 2020, 2:22 pm
The action against Wells Fargo follows other similar actions, including a 2017 settlement in which Morgan Stanley Smith Barney agreed to pay $8 million. [read post]
27 Feb 2020, 11:14 am
Even after you've read the fact pattern a few times, you're still not quite sure who did what to whom. [read post]
27 Feb 2020, 6:00 am
In re Appraisal of Panera Bread Co., C.A. [read post]
26 Feb 2020, 3:00 am
This Axios article discusses The Members Exchange, or MEMX, which is backed by the likes of Goldman Sachs, BofA & Morgan Stanley. [read post]
4 Feb 2020, 7:05 am
It worked with Morgan Stanley to value the company and focused on getting JAB to raise its offer ceiling. [read post]
6 Dec 2019, 3:00 am
Hunter Enters Plea in Federal Campaign Finance Case, Telling Judge, ‘Guilty’ San Diego Union-Tribune – Morgan Cook, Kristina Davis, and Jeff McDonald | Published: 12/3/2019 U.S. [read post]
13 Aug 2019, 12:46 pm
Morgan Stanley Capital Group (In re Energy Future Holdings Corp.), No. 18-1957, 2019 WL 2535700 (3d Cir. [read post]
6 Aug 2019, 11:00 pm
Make sure you’re on the right track for retirement! [read post]
