Search for: "Morgan Stanley, Inc."
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25 Oct 2018, 6:43 am
The securities attorneys at Gana Weinstein LLP have been investigating Morgan Stanley broker Barry Garapedian (Garapedian). [read post]
14 Sep 2012, 9:39 am
Morgan Stanley also had apparently had given Kadden a $25,000,000 guarantee for signing on with Morgan Stanley Smith Barney, and consequently, had very significant earnings expectations and a very significant investment in Kadden which according to the lawsuit Morgan Stanley did not want jeopardize. [read post]
22 Mar 2007, 3:13 am
Morgan Stanley Inc. won a reversal of the $1.58 billion verdict handed to billionaire Ron Perelman for misleading him in a deal to sell Coleman Co. to Sunbeam Corp. [read post]
9 Aug 2015, 2:56 pm
The Financial Industry Regulatory Authority (FINRA) issued a press release concerning two settlements fining Morgan Stanley Smith Barney, LLC (Morgan Stanley) $650,000 and Scottrade, Inc. $300,000 for failing to implement reasonable supervisory systems to monitor the transmittal of customer funds to third-party accounts. [read post]
12 May 2010, 12:35 pm
So far, Morgan Stanley is saying it knows nothing about such a probe. [read post]
26 Mar 2009, 9:39 am
DeMizio, formerly the head of Morgan Stanley's domestic securities lending desk, was accused of routinely directing Morgan Stanley stock-loan business to two stock finders in exchange for kickbacks and bribes paid to his brother and father from the 1990s through 2003. [read post]
2 May 2016, 10:11 am
On April 27, 2016, the Second Circuit Court of Appeals vacated and remanded the district court’s summary judgment order entered in favor of defendant Morgan Stanley Mortgage Capital, Inc. in the Southern District of New York. [read post]
6 Jul 2011, 10:11 pm
• First NLC Financial Services • Wilmington Finance Inc. [read post]
27 Dec 2006, 9:42 pm
Morgan Stanley also gave over $57 million in company bonuses to several other Morgan Stanley executives. [read post]
16 Aug 2011, 10:05 pm
Stanley may have to pay $1.7 billion in MBS cases, MSNBC, August 8, 2011 Bond Insurer Sues Morgan Stanley—What Are the Ramifications? [read post]
19 Nov 2015, 6:34 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Travis Shannon, a former financial advisor with Morgan Stanley Smith Barney from September 2008 to July 2013, was fired by Morgan Stanley for undisclosed outside business activities. [read post]
24 Jun 2005, 2:40 pm
[JURIST] A judge has added $130 million to the $1.45 billion verdict against Morgan Stanley [corporate website] a jury awarded last month [JURIST report] to billionaire financier and Revlon Inc. chairman Ron Perelman. [read post]
21 Jul 2020, 4:30 am
Morgan Stanley Terminated Carter’s Employment After Allegations of Client Funds Misappropriation According to his FINRA Brokercheck Report, Michael Barry Carter was registered with Morgan Stanley in McLean, VA between late December 2011 and August 2019. [read post]
21 Jul 2020, 4:30 am
Morgan Stanley Terminated Carter’s Employment After Allegations of Client Funds Misappropriation According to his FINRA Brokercheck Report, Michael Barry Carter was registered with Morgan Stanley in McLean, VA between late December 2011 and August 2019. [read post]
3 May 2012, 8:15 pm
(WFC), UBS AG (UBSN), Morgan Stanley (MS), and Citigroup Inc. [read post]
12 Jun 2009, 9:43 am
The joint venture announced by Morgan Stanley in January to take 51% control of Citigroup Inc.'s Smith Barney brokerage unit was completed last week on June 1. [read post]
14 Aug 2010, 10:05 am
FINRA said on Tuesday that Morgan Stanley & Co. [read post]
27 Feb 2009, 12:06 pm
(MSIA), and Morgan Stanley Distributors Inc. [read post]
2 Oct 2014, 6:28 am
Shannon, of Santa Barbara, California, formerly of Morgan Stanley Smith Barney. [read post]
15 Jul 2009, 12:39 pm
Professor Alan Scott Rau has forwarded us the following comments relating to our post of yesterday, in which we summarized the recent Texas Supreme Court case of In re Morgan Stanley & Co., Inc., __ S.W.3d __ (Texas 2009) (No. 07-0665). [read post]
