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22 Jan 2014, 2:38 am
In the Matter of Magnolia Gaerlan, Respondent (AWC 2013036717601, January 15, 2014).In 1996, Gaerlan entered the securities industry and by 2009 she was employed at Morgan Stanley Smith Barney LLC as a registered sales assistant until her resig... [read post]
11 May 2009, 8:56 am
Tucked into the 10-Q that Morgan Stanley (MS) filed on Thursday was a revised employment agreeement for Chairman and CEO John Mack. [read post]
9 Nov 2010, 7:28 am
The non-binding MOU contemplates formalizing contractual arrangements to allow Morgan Stanley to export or import 1.7 million tons of LNG per year. [read post]
12 Dec 2007, 10:56 pm
Morgan Stanley had put aside $360 million in reserves to deal with a possible loss in the case, according to a company filing. [read post]
4 Apr 2013, 6:24 am
Morgan Stanley Smith Barney, LLC, Case No. [read post]
4 Nov 2008, 4:59 pm
Mack had been with Morgan Stanley before losing out in a battle for CEO. [read post]
25 Oct 2007, 4:37 am
Article by Jordana Mishory posted on Law.com, October 25, 2007: More trouble looms for nation’s second-largest securities firm, which has already agreed to pay $12.5M in regulatory case Attorneys say they are gearing up to file hundreds of lawsuits against Morgan Stanley for allegedly hiding evidence from clients who filed arbitration claims. [read post]
8 Mar 2016, 6:52 pm
A retired couple from North Carolina has filed an arbitration claim against Morgan Stanley, alleging it failed to adequately disclose the risks involved in a proprietary energy-related investment in which they’ve lost more than $100,000, according to the law firm representing them. [read post]
10 Aug 2012, 1:28 pm
Pauley III granted the Department of Justice Antitrust Division’s (DOJ) motion for entry of a consent decree requiring Morgan Stanley to disgorge $4.8 million for its role in an allegedly illegal swap agreement that allowed KeySpan Corporation (KeySpan) to manipulate energy prices in the New York [...] [read post]
12 Jun 2016, 10:24 pm
In Case You Missed It: The SEC fined Morgan Stanley $1 million for a 2014 data breach. [read post]
2 Oct 2020, 1:35 pm
That job belonged to Morgan Stanley. [read post]
12 Mar 2007, 7:06 am
In the Morgan Stanley scheme, Jurman, the Collottas, and their tippees allegedly made over $600,000 in unlawful profits. [read post]
20 Nov 2009, 1:14 pm
Morgan Stanley Smith Barney LLC and Merrill Lynch are going toe-to-toe by offering top reps a recruiting package of up to 330% of annual production. [read post]
8 May 2007, 10:18 am
Randi Collotta, an Ex-Morgan Stanley compliance officer and attorney, and her husband, Christopher Collotta, are slated to plead guilty on May 10, 2007 for their involvement in one of the largest insider trading schemes to take place on Wall Street since the 1980's. [read post]
20 Jun 2011, 5:00 am
Chammah who became Chief Executive Officer of Morgan Stanley International. [read post]
16 Mar 2007, 9:57 am
Morgan Stanley settles gender class action suit. [read post]
25 Jan 2017, 12:21 pm
Paesano’s publicly available BrokerCheck report, as maintained by the Financial Industry Regulatory Authority (FINRA), he has been the subject of 15 customer complaints, spanning his employment and registration at two broker-dealers, including Morgan Stanley from May 2011 to January 2017 and UBS Financial Services, Inc. from August 2005 to May 2011. [read post]
25 Jan 2017, 12:21 pm
Paesano’s publicly available BrokerCheck report, as maintained by the Financial Industry Regulatory Authority (FINRA), he has been the subject of 15 customer complaints, spanning his employment and registration at two broker-dealers, including Morgan Stanley from May 2011 to January 2017 and UBS Financial Services, Inc. from August 2005 to May 2011. [read post]
29 Sep 2017, 8:31 am
Puerto Rico COFINA bond losses with Angel Aquino-Velez & Morgan Stanley Have you suffered losses investing in Puerto Rico COFINA bonds with Angel Aquino-Velez or Morgan Stanley? [read post]
15 Nov 2011, 9:54 am
The attorneys at Eccleston Law have launched an investigation of former Morgan Stanley Smith Barney and Dimensions Financial Group representative Eric T. [read post]
