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3 Aug 2014, 9:30 pm
” They also pose a substantial compliance challenge for MMF directors who must oversee these determinations, particularly in light of the Commission’s enforcement action against the directors of the Morgan Keegan bond funds. [read post]
8 Jul 2014, 6:17 am
From 2008 until February 2013, Foerster was associated with Morgan Keegan & Co. [read post]
7 Jul 2014, 10:27 am
According to Foerster’s FINRA Broker Report, he was employed by Morgan Keegan & Co. [read post]
2 Jul 2014, 7:01 am
He moved to Morgan Keegan & Co. [read post]
23 Jun 2014, 11:44 am
For the full findings, see FINRA Case #2010024623501 According to Tintle’s FINRA Broker Report, he was employed by Oppenheimer & Co. from September 2008 through June 2011 and Morgan Keegan & Company from November 2006 through October 2008. [read post]
17 Jun 2014, 7:02 am
Moreover, the company is considering acquisitions in its private client group, though smaller than its Morgan Keegan 1,200 rep acquisition in 2012. [read post]
30 May 2014, 6:36 am
According to Tintle’s BrokerCheck report, he worked with Oppenheimer & Co. from September 2008 through June 2011, Morgan Keegan & Company from November 2006 through October 2008, and Citigroup Global Markets from February 2001 through November 2006. [read post]
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]
12 Dec 2013, 10:14 am
The SEC has been targeting valuation cases recently as evidenced by the recent enforcement action against the Morgan Keegan fund directors and in the Ambassador Capital case. [read post]
31 Oct 2013, 7:00 am
See Morgan Keegan & Co., Inc. v. [read post]
24 Sep 2013, 4:33 pm
Tintle purportedly completed the transaction away from Morgan Keegan without approval of the firm. [read post]
1 Aug 2013, 12:16 pm
Morgan & Keegan Co., Case No. 12-1250 (USDC M.D. [read post]
2 Jul 2013, 2:53 pm
The trial court sustained Morgan Keegan’s demurrer to the complaint. [read post]
17 Jun 2013, 6:00 am
The SEC announced a settlement in an enforcement proceeding against eight former directors of five Regions Morgan Keegan open- and closed-end funds that were heavily invested in securities backed by subprime mortgages. [read post]
14 Jun 2013, 5:29 am
The SEC announced a settlement in an enforcement proceeding against eight former directors of five Regions Morgan Keegan open- and closed-end funds that were heavily invested in securities backed by subprime mortgages. [read post]
20 May 2013, 6:01 am
The panel also referenced the Morgan Keegan case where there was distinct hanky-panky during the valuation process. [read post]
20 May 2013, 6:01 am
The panel also referenced the Morgan Keegan case where there was distinct hanky-panky during the valuation process. [read post]
1 Apr 2013, 6:11 am
Morgan Keegan & Co. v. [read post]
1 Apr 2013, 1:11 am
Morgan Keegan & Co. v. [read post]
27 Mar 2013, 2:12 pm
Investment News reports that the SEC has agreed in principle with eight former directors of five Morgan Keegan mutual funds to settle a civil enforcement action brought last December. [read post]
