Search for: "R. A. Stanley"
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8 Dec 2017, 5:17 am
He was also nominated to receive the Stanley M. [read post]
16 Oct 2014, 8:33 pm
In his book, Save the World on Your Own Time, Stanley Fish takes the position that faculty may not advocate political or moral views in the classroom. [read post]
9 Aug 2021, 5:27 am
Someone hit the wrong button while online and agreed to do something that was never intended.Morgan Stanley Raises Serious Questions in Failed TRO Against Former Employee (BrokeAndBroker.com Blo... [read post]
16 Mar 2018, 7:18 am
The Extended Hearing Panel suspended Mathieson for one year in all capacities and fined him $50,000 for participating in private securities transactions and engaging in outside business activities without prior written notice to, and permission from, his member firm, Morgan Stanley... [read post]
25 Jun 2018, 6:14 am
In today's featured FINRA public customer arbitration against both UBS and Morgan Stanley, we have some curious facts and allegations. [read post]
12 Jun 2020, 6:15 am
Morgan Stanley & Co., LLC, James Gorman, and Barry Krouk: FULL TEXT COMPLAINT (BrokeAndBroker.com Blog)Regulators never thought investors would be gullible enough to buy Hertz 'garbage,' Harvey Pitt says (CNBC)IMF set to slash economic forecasts and warns of a crisis 'unlike anything the world has seen' (CNBC by Silvia Amaro)SEC Obtains Final Judgments Against Movie Director, His Partner, and Their Companies (SEC Release)Co-Founder Of Cryptocurrency Company… [read post]
31 Jan 2014, 6:43 am
In early 2008, husband and wife Stanley and Lutgarda Mical opened an E*Trade brokerage account, but things don't seem to have gone particularly well because a $35,000 margin call was issued on July 1, 2008. [read post]
1 Aug 2021, 10:04 am
Respondent Morgan Stanley did not oppose the requested relief. [read post]
11 Dec 2020, 7:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5591/securities-industry-commentator/SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution (SEC Release)Former Nomura RMBS Trader Who Defrauded Customers is Sentenced (DOJ Release)Federal Court Says Former Morgan Stanley Advisor's Discrimination Claims Are Time Barred… [read post]
9 Aug 2021, 5:27 am
To Fine And Suspend Is FINRA (BrokeAndBroker.com Blog)Fintech CEO Sentenced To 6 Years In Prison For Multiple Fraud Schemes, Including $7 Million Covid-19 Pandemic Loan Fraud And Securities Fraud (DOJ Release)Morgan Stanley Raises Serious Questions in Failed TRO Against Former Employee (BrokeAndBroker.com Blog)FINRA AWC Did Not Require Acceptance of Findings But Why Does Regulator Publish Denials? [read post]
30 Jul 2019, 9:28 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4735/securities-industry-commentator/District Court Denied Morgan Stanley Injunction In Non Solicitation Case(BrokeAndBroker.com Blog)Modernization of Regulation S-K Items 101, 103, and 105 (SEC Proposed Rule)FINRA Imposes Temporary C&D. [read post]
17 Mar 2014, 6:25 am
In the Matter of David Eckess, Respondent (AWC 2012031084801, March 12, 2014).Eckess first became registered with a FINRA member firm in 1985 and during the times relevant to this matter, he was registered through Morgan Stanley, Inc.Friends With BeneficiaryThe AWC asserts that in November 2011, Eckess agreed to being named the replacement (and sole) beneficiary on two Allstate Life Insurance Company variable annuities worth about $94,000 and held by a 92-... [read post]
8 May 2020, 6:31 am
FINRA Arbitrators Award Severance to Former Barclays Employee (BrokeAndBroker.com Blog)How Citigroup, Morgan Stanley Are Returning to Offices in Asia (Bloomberg by Cathy Chan and Alfred Liu)The Work-From-Home Trader Who Shook Global Markets / A new book reveals fresh details about the man authorities blamed for the Flash Crash that erased $1 trillion of value in a matter of minutes. [read post]
13 Aug 2018, 8:15 am
At issue was a somewhat run-of-the-mill employment dispute in which an associated person sought six-figures in damages from his former employer Morgan Stanley Smith Barney. [read post]
14 Aug 2018, 12:26 pm
Morgan Stanley Smith Barney LLC, John Joseph Biondo, Jr., and William Michael Peragine, III, Respondents (FINRA Arbitration 15-03434, August 10, 2018) http://www.finra.org/sites/default/files/aao_documents/15-03434.pdf In response to ... [read post]
25 Nov 2017, 4:42 am
UBS Trails Morgan Stanley Out the Door on Broker Protocol(Financial Advisor IQ, by Rita Raagas De Ramos November 28, 2017) http://financialadvisoriq.com/c/1806543/209103 UBS is withdrawing from the Protocol for Broker Recruiting, effective December 1, making it the second wirehouse and first original signatory to announce its exit.Edward Jones Stockbroker Shot Blanks In FINRA Customer Signature Settlement http://www.brokeandbroker.com/3690/finra-signature-/ It's… [read post]
17 Mar 2013, 6:52 am
” [Pastor Andy] Stanley described how the North Point Ministries model to “engage, involve, and challenge people” is designed to introduce them to a relationship with Jesus and emphasized that “the ultimate win is life change. [read post]
4 Mar 2011, 4:56 am
Stanley Raczelowski, of Westford, Massachusetts, was driving northbound when the ice fell from a truck heading southbound near the town of Mason, New Hampshire. [read post]
28 Feb 2012, 5:47 am
I recently received an email from The Kelly Group at Morgan Stanley Smith Barney with some good practical advice on a financial checkup that everyone should do once a year. [read post]
31 Jan 2014, 7:41 pm
The CDC reports a total of 17 persons infected with the outbreak strain of Salmonella Stanley were reported from three states. [read post]
