Search for: "Jim Stanley"
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18 Aug 2017, 6:30 am
Judgment at Nurembergby Stanley Kramer. [read post]
26 May 2017, 3:00 am
Stanley. [read post]
26 May 2017, 3:00 am
Stanley. [read post]
21 May 2017, 12:00 am
His “trek through the depths of Jim Crow justice” involves the history of the civil rights movement, criminal justice, and the death penalty. [read post]
17 May 2017, 2:00 am
The Plessy decision institutionalized Jim Crow laws that allowed racial segregation to continue for decades. [read post]
9 Mar 2017, 9:53 am
It is unclear whether Secretary of Defense Jim Mattis has given his support to the proposal. [read post]
22 Feb 2017, 6:13 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing in order to settle charges by the SEC.According to the complaint, the SEC alleged that Morgan Stanley did not adequately implement its policies and procedures and did not ensure that its clients understood the risks related to single-inverse ETF investments that the firm recommended to advisory clients. [read post]
2 Feb 2017, 6:27 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley has agreed to pay $7.5 million to settle SEC charges that it used trades involving customer cash to lower the firm’s borrowing cost. [read post]
13 Jan 2017, 9:24 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has censured Morgan Stanley and fined it $1.5 million for allegedly failing to provide millions of customers access to online information on purchases of mutual funds and other products. [read post]
27 Dec 2016, 8:23 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Morgan Stanley has marketed a recruitment deal to financial advisors which consists of an upfront cash payment between 100% and 175% with a 9 year term in place. [read post]
26 Oct 2016, 6:52 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has fined and suspended a former Client Service Administrator (CSA) at Morgan Stanley for fraudulently transferring money from a client’s account to third party bank accounts and for falsifying records.Pursuant to the settlement, the CSA agreed to be fined $5,000 and suspended from the securities industry for 60 days. [read post]
13 Oct 2016, 6:27 am
From the Desk of Jim Eccleston at Eccleston Law LLC:In 2015, wirehouse firms such as UBS Financial, Merrill Lynch, Wells Fargo Advisors and Morgan Stanley, incurred a net loss of 312 reps. [read post]
7 Oct 2016, 12:49 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The state of Massachusetts has charged Morgan Stanley Smith Barney for conducting a sales contest among its financial advisers to encourage clients to borrow money against their brokerage accounts. [read post]
21 Sep 2016, 7:28 am
Emmanuelli Jiménez entiende que bajo la Ley de Quiebra federal la determinación de no aplicar la suspensión de litigios no se sostendría. [read post]
12 Sep 2016, 6:39 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Last month, a lawsuit was filed against Morgan Stanley in Manhattan federal court. [read post]
25 Aug 2016, 5:45 am
From the Desk of Jim Eccleston at Eccleston Law LLC:An independent adviser named Dale Cerbert of The Villages, Florida was awarded $2.5 million by FINRA relating to a defamation claim he made against Morgan Stanley after his dismissal from the firm.Mr. [read post]
22 Aug 2016, 1:43 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA ruled against Morgan Stanley and Citigroup Global Markets in a case that alleged that a husband siphoned more than half a million dollars from his wife while acting as her financial adviser. [read post]
2 Aug 2016, 2:38 pm
Clair, a NFL player, were on the receiving end of an $819,000 arbitration award against Morgan Stanley Smith Barney. [read post]
8 Jun 2016, 1:18 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Two men in California have been charged by the SEC in connection with allegedly pocketing millions from investors. [read post]
4 May 2016, 12:48 pm
While Lynch signed an agreement detailing that he could only retain contact information pertaining to clients for whom he was labeled a “designated joint producer,” which would have amounted to $40 million in client assets, he retained records for the team’s entire book of clients, representing $1.2 billion in assets, Morgan Stanley alleges.Morgan Stanley’s first argument that the employing firm’s protocol status supersedes that of the firm of… [read post]
