Search for: "Morgan Stanley & Co. LLC "
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20 May 2020, 1:57 pm
Stifel, Nicolus & Company, Inc Sterne, Agee & Leach, Inc Kievman, Cary Ameriprise Financial Services, Inc Morgan Stanley Smith Barney Krupnick, Jeffrey Ameriprise Financial Services, Inc JHS Capital Advisors, LLC Lake, Jonathan Wells Fargo Clearing Services, LLC Morgan Stanley McCutchen, Jerry Sr. [read post]
15 May 2020, 5:57 am
" Morgan Stanley Group, Inc. v. [read post]
8 May 2020, 9:25 am
Avelino Cortina III AC3 Capital, LLC Wells Fargo Advisors,LLC William Despard Morgan Stanley Citigroup Global Markets Inc. [read post]
16 Mar 2020, 8:45 am
Also, in 2012, FINRA sanctioned Citigroup global markets, LLC, Morgan Stanley and Co LLC; UBS Financial services; and Wells Fargo advisors LLC over more than $9.1million dollars for selling leveraged and inversed ETFs without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
11 Mar 2020, 3:03 pm
They also sued Kinder Morgan for tortious interference with contract. [read post]
11 Mar 2020, 8:47 am
GTD Callable DTD 11/30/12 Morgan Stanley Medium Term SR NTS DTE 07/30/12 Lloyds Bank PLC LKD to CMS RT USD 30Y DTD 1/31/13 Societe Generale Callable CMS Spread DTD 3/28/13 Societe Generale SA ISIN DTD 6/28/13 International BK For Recon & DEV Medium Term BK Callable DTD 6/30/14 Citigroup Inc Medium Term SR NTS Callable DTD 7/31/14 Seagate HDD Cayman DTD 12/2/14 Morgan Stanley FIN LLC Global GTD DTD 9/30/16 Morgan Stanley FIN… [read post]
3 Mar 2020, 6:52 am
LLC Citigroup S. [read post]
9 Jan 2020, 4:34 am
They state a claim for malpractice and breach of fiduciary duty–both of which have a three-year statute of limitations because defendants exclusively seek monetary damages (IDT Corp. v Morgan Stanley Dean Witter & Co., 12 NY3d 132, 139 [2009]; Matter of R.M Kliment & Frances Hals band, Architects, 3 NY3d 538, 541 [2004]). [read post]
7 Jan 2020, 2:17 pm
Morgan Stanley Medium Term SR NTS Northstar Healthcare Income Inc. [read post]
3 Jan 2020, 1:27 pm
Co., 411 F.3d 384, 390 (2d Cir. 2005). [read post]
24 Dec 2019, 8:44 am
(CRD#:2525), also of Los Angeles, Morgan Stanley & Co., Incorporated (CRD#:8209) and Morgan Stanley DW INC. [read post]
26 Nov 2019, 7:44 am
According to FINRA Disciplinary actions for November 2019, the following individuals were suspended 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 Ajayi, Emmanuel JP Morgan Securites LLC HSBC Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage… [read post]
26 Nov 2019, 7:33 am
Edwards & Sons, Inc H&R Block Financial Advisors Leeuw, Nancy Leeuw, Perry PFS Investments Inc Primerica Financial Services Brian Decker Worden Capital Management LLC Legend Securities Jones, Johnnie National Securities Corporation John Thomas Financial Misseri, Bernardo Legend Securities, Inc JP Turner & Company Oakes, Thomas Royal Securities Company Kent… [read post]
10 Sep 2019, 2:34 am
Credit Suisse AG, London Branch LKD TO Morgan Stanley Medium Term SR NTS Morgan Stanley Medium Term SR NTS Leveraged Curve and Russell 2000 Pacific Beacon LLC 2006 SER A Military Morgan Stanley Medium Term SR NTS DTD7/31/14 Morgan Stanley Medium Term SR NTS DTD 04/30/12 Hamden Conn Taxable Int Rate DTD 03/10/15 Hewlett Packard Co Fixed Global NT DTD 9/19/11 Morgan Stanley Medium Term SR NTS… [read post]
6 Aug 2019, 8:45 am
Dewaay Financial Network, LLC VSR Financial Services, Inc Freeman, Michael Spartan Capital Securities, LLC Legend Securities, Inc Fuzie, Cindy Morgan Stanley MML Investors Services, LLC Hernandez, Evelyn Morgan Stanley Chase Investment Services Barry, Jin Spartan Capital Securities, LLC Lampert Capital Markets Inc LaVolpe,… [read post]
17 Jul 2019, 1:13 pm
Morgan Stanley & Co. [read post]
15 Jul 2019, 4:29 am
” (IDT Corp. v Morgan Stanley Dean Witter & Co., 12 NY3d 132, 139 [2009).) [read post]
15 Jul 2019, 4:29 am
” (IDT Corp. v Morgan Stanley Dean Witter & Co., 12 NY3d 132, 139 [2009).) [read post]
11 Jul 2019, 6:33 am
Morgan Stanley & Co. [read post]