Search for: "Morgan Stanley"
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7 Mar 2007, 10:33 am
They could be, according to Financial News, which sees a larger trend in Morgan Stanley’s recent hiring of a top European restructuring banker. [read post]
13 Feb 2008, 5:01 am
Johansson joins UBS, the world’s largest wealth manager, from Morgan Stanley, where he was vice chairman for Europe. [read post]
4 Sep 2012, 12:55 pm
Morgan Stanley Summons. [read post]
22 Jun 2012, 1:58 pm
They both still work for Morgan Stanley Smith Barney. [read post]
20 Jun 2011, 5:58 pm
Per the court, Morgan Stanley set up employee trading policies to prevent and monitor insider trading. [read post]
22 Sep 2008, 5:50 pm
The move by Goldman Sachs and Morgan Stanley to change their designation from investment banks to bank holding companies is being touted as a big step toward bringing stability to these icons of Wall Street. [read post]
20 Sep 2007, 5:07 am
Rival investment bank Morgan Stanley reported record third-quarter prime brokerage revenue on Wednesday, raising the possibility that the firm grabbed some [...] [read post]
30 Sep 2008, 12:04 pm
Among the casualties of the House of Representatives’ rejection of the proposed $700 billion rescue package: Mitsubishi UFJ Financial Group’s $9 billion investment in Morgan Stanley. [read post]
24 Jun 2013, 5:58 am
After a four-year process, Morgan Stanley has agreed to purchase the remaining 35% share of Smith Barney from Citigroup as soon as next week, the firm announced on Friday.Finishing Touches On Citi Deal Boost Morgan Stanley Wealth Management [read post]
16 Dec 2011, 4:36 am
On April 13, 2011, a Morgan Stanley employee and her California disability attorney filed a lawsuit against First UNUM Life Insurance Company for breach of the Employee Retirement Income Security Act of 1974(ERISA), after she was denied long term disability benefits. [read post]
2 Jul 2018, 7:22 am
Morgan Stanley Smith Barney LLC, Defendant/Appellee (Opinion, July 2, 2018)http://www.brokeandbroker.com/PDF/Ploetz8Cir.pdfPloetz filed a FINRA Arbitration claim against Morgan Stanley Smith Barney LLC, alleging that Morgan Stanley had transferred funds from the account without authorization. [read post]
5 Dec 2011, 6:50 am
Moves Toward Home 'Rentership Society,' Morgan... [read post]
23 Mar 2023, 1:44 pm
He can be reached at 617-823-3217 or Jeffrey.newman1@gmail.com The post Securities and Exchange Commission charges former Morgan Stanley financial adviser for misappropriating over a million dollars from current and former NBA players appeared first on Jeff Newman Law. [read post]
7 Jul 2016, 5:03 pm
The Securities and Exchange Commission’s (“SEC”) recent $1 million settlement with Morgan Stanley Smith Barney LLC (“MSSB”) marked a turning point in the agency’s focus on cybersecurity issues, an area that the agency has proclaimed a top enforcement priority in recent years. [read post]
22 Feb 2011, 11:58 pm
There has been no evidence that there were any conflicts of interest between Morgan Stanley and the funding commission. [read post]
24 Jul 2015, 1:15 pm
FINRA asserts that Morgan Stanley did not have adequate supervisory systems and procedures to monitor the transfer in funds. [read post]
13 Apr 2022, 1:22 pm
Our attorneys are currently investigating claims by investors against Morgan Stanley involving fired Morgan Stanley broker Robert David, Jr., of Farmington Hills, Michigan. [read post]
8 Apr 2008, 5:01 am
Bear also claims that Sharon tried to lure Bear Stearns clients and employees to Morgan Stanley. [read post]
10 Apr 2015, 8:10 am
District Court for the Southern District of New York granted in part and denied in part Morgan Stanley Mortgage Capital Holdings LLC’s (“MSMC”) motion to dismiss breach of contract and breach of the covenant of good faith and fair dealing claims brought by Deutsche Bank National Trust Company (“Deutsche Bank”), in its capacity as Trustee for the Morgan Stanley Structured Trust I 2007-1. [read post]
14 Jan 2009, 8:53 am
It looks like it's the end of Citigroup as we've come to know it, as the banking giant agreed to give majority control to Morgan Stanley in a landmark new combination of their brokerage units. [read post]
