Search for: "Morgan Stanley"
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22 Sep 2023, 2:15 pm
The claimant alleged that the employing firm when the alleged activity occurred was Morgan Stanley and requested $62,000 in alleged damages. [read post]
22 Sep 2023, 2:15 pm
The claimant alleged that the employing firm when the alleged activity occurred was Morgan Stanley and requested $62,000 in alleged damages. [read post]
22 Sep 2023, 2:15 pm
The claimant alleged that the employing firm when the alleged activity occurred was Morgan Stanley and requested $62,000 in alleged damages. [read post]
20 Sep 2023, 7:20 am
Morgan Stanley Broker Ron Filoramo Reportedly Fired with 4 Complaints Pending According to a Letter of Acceptance, FINRA, the broker regulator, has barred Ron Filoramo (CRD#: 3270398) from the securities industry. [read post]
19 Sep 2023, 11:56 pm
A promissory note, often called an up-front forgivable loan, is commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley, Merrill Lynch, Wells Fargo, Ameriprise, and UBS Financial Services. [read post]
10 Sep 2023, 6:05 am
U.K. regulator fines Morgan Stanley $6.8M for off-channel comms- It was the US issuing fines just a few weeks ago. [read post]
7 Sep 2023, 7:14 pm
Reuters: “Wealthy clients going to a Morgan Stanley financial adviser to discuss their investments may have a different sort of experience in the future: having a chatbot listen to their conversation. [read post]
5 Sep 2023, 8:16 pm
Pension Fund Fraud Losses May Require The Help of A Trusted Broker-Dealer Negligence Law Firm JPMorgan, Goldman Sachs, UBS and Morgan Stanley Settle Stock-Lending Lawsuit For $499M For over 30 years, Shepherd Smith Edwards and Kantas (investorlawyers.com) have been representing pension funds and other institutional investors in pursuing damages caused by broker fraud or negligence. [read post]
1 Sep 2023, 6:07 am
He was previously employed by Morgan Stanley (CRD# 149777), Citigroup Global Markets Inc. [read post]
31 Aug 2023, 6:01 pm
They include a lawsuit filed Tuesday against Morgan Stanley & Co. [read post]
30 Aug 2023, 10:13 am
Morgan Stanley Smith Barney, LLC – FINRA Case No. 21-00203, click here. [read post]
21 Aug 2023, 9:42 am
These resolutions include settlements with the following banks, mortgage originators, and rating agencies: Ally Financial; Aurora Loan Services; Bank of America; Barclays; Citigroup; Credit Suisse; Deutsche Bank; General Electric; Goldman Sachs; HSBC; JPMorgan; Moody’s; Morgan Stanley; Nomura; Royal Bank of Scotland; S&P; Société Générale; Wells Fargo. [read post]
11 Aug 2023, 4:07 pm
Such proof included the evidence that: (1) Scott voluntarily and substantially slashed his salary to $100,000 even though his earning capacity was much higher and SCA has sufficient non-operating reserves to at least cover the $90,444 he owed for child support; (2) in lieu of Scott’s taking a larger salary to meet his personal and family expenses in 2020, Scott and his current spouse evidently covered such expenses in part by taking distributions totaling at least $977,000 from their… [read post]
7 Aug 2023, 11:16 am
The Growing Concerns of AI Recently, on August 3rd, 2023, The Massachusetts Secretary of the Commonwealth sent several detailed letters to firms including JPMorgan and Morgan Stanley to learn how they are using AI with investors. [read post]
4 Aug 2023, 8:13 am
SW Financial Jin Zhu Morgan Stanley Key Investment Services LLC For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
4 Aug 2023, 7:34 am
According to FINRA Disciplinary actions for July 2023, 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 Michael Borning Pruco Securities, LLC Wells Fargo Clearing Services, LLC Conway Donaldson Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Incorporated Bridget Fernandez UBS… [read post]
4 Aug 2023, 7:16 am
According to FINRA Disciplinary actions for July 2023, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Michael Cutrone Neuberger Berman BD LLC Ronald Diaz Morgan Stanley J.P. [read post]
4 Aug 2023, 4:00 am
Trump Is Charged Under Civil Rights Law Used to Prosecute KKK Violence MSN – Isaac Stanley-Becker and Spencer Hsu (Washington Post) | Published: 8/1/2023 When Donald Trump was indicted and accused of trying to subvert the results of the 2020 presidential election, he found himself in the unenviable company of defendants charged under a criminal statute dating to the Reconstruction era. [read post]
3 Aug 2023, 4:00 am
” by Zachary Roth and Morgan Trau for Missouri Independent Ethics California: “By Several Measures, the FPPC Is Outnumbered” by Brian Joseph for Capitol Weekly National: “Trump Is Charged Under Civil Rights Law Used to Prosecute KKK Violence” by Isaac Stanley-Becker and Spencer Hsu (Washington Post) for MSN Texas: “Texas Environmental Regulators Are Using an Unwritten Rule to Squash Pollution… [read post]
24 Jul 2023, 6:19 pm
Underwriting far outpaced lending for Morgan Stanley and Goldman Sachs; lending and underwriting were closer to equal for Bank of America, Citi, and JPMorgan Chase; and lending far outpaced underwriting for Wells Fargo. [read post]
