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23 Oct 2015, 6:30 am
We represent investors, brokers and firms nationwide, and our attorneys have been doing so for decades.Related articlesTime to Ban Mandatory Deferred Compensation - Morgan Stanley Admits It Uses Employee Funds For Its Own Benefit (seclaw.blogspot.com)FINRA Releases 2015 Regulatory and Exam Priorities Letter (seclaw.blogspot.com) [read post]
23 Oct 2015, 6:00 am
Two Morgan Stanley advisors with $152 million in combined client assets have gone independent with the Wells Fargo Advisors Financial Network. [read post]
22 Oct 2015, 3:09 pm
Various others factors can be considered as well for example; what parties paid taxes from the account, whose name appears on checks and who had possession of the documents for the account. [read post]
20 Oct 2015, 9:30 pm
”—Stanley N. [read post]
14 Oct 2015, 8:45 am
Bank of America Merrill Lynch, Morgan Stanley and Wells Fargo ... [read post]
13 Oct 2015, 1:49 pm
Bank of America Merrill Lynch, Morgan Stanley and Wells Fargo Securities are ... [read post]
11 Oct 2015, 12:30 am
In Dissent, Amy Dru Stanley reviews Alex Gourevitch's From Slavery to the Cooperative Commonwealth: Labor and Republican Liberty in the Nineteenth Century (Cambridge University Press). [read post]
10 Oct 2015, 5:24 am
At its peak, Canarsie Capital had managed around $98 million in assets and had some well-known contributors. [read post]
9 Oct 2015, 5:57 am
Chief Justice Robert’s opinion for the Court follows a simple progression: (1) Read in isolation, the most natural reading of “an Exchange established by the State” as used in Section 36B of the Internal Revenue Code’s provision governing the size of tax credits available for the purchase of health insurance would make such credits unavailable for individuals purchasing insurance through the federal exchange in those states that did not create their own exchanges; (2)… [read post]
3 Oct 2015, 6:04 am
Team (or work team) derives from “classical” Party terminology (as Stanley Lubman highlighted in an article last year)). [read post]
2 Oct 2015, 1:51 am
The battered crown which had fallen from Richard’s helmet was found in a hawthorn bush, where it had probably been hidden by a plunderer, and set on the head of Richmond by Lord Stanley, while all the victorious army hailed the earl by his new title of Henry VII. [read post]
28 Sep 2015, 9:30 pm
The holding is well known: the Due Process Clause prohibits the state from removing children from unwed fathers simply because they are not married and requires the state to provide all parents with a hearing on their fitness. [read post]
28 Sep 2015, 7:31 pm
NEW YORK -- Six big U.S. banks called for a "strong global climate agreement" in a statement Monday, with Bank of America, Citi, JPMorgan Chase, Goldman Sachs, Morgan Stanley and Wells Fargo arguing in a joint release that government action, in addition to private business investment, is needed to address climate change. [read post]
15 Sep 2015, 6:25 am
Experts warn, however, that revenue streams even at the largest and most well-prepared provider organizations could be constricted for months following the Oct. 1 switch, as physicians, coders and payers adjust to the far more voluminous and complex ICD-10 system. [read post]
11 Sep 2015, 9:50 am
Morgan Stanley & Co., 2. [read post]
8 Sep 2015, 12:09 pm
”Also in The Recorder today, Chief Justice Dips Toe in Bar Bill Talks.Over in the DJ, PJ Gilbert presents As Time Goes By, reminiscing about how yesterday was the 40th anniversary of being sworn in as a judge of the LA Muni Court by Justice Stanley Mosk (along with Elwood Lui). [read post]
8 Sep 2015, 8:07 am
., Morgan Stanley & Co, LLC, UBS Financial Services, and Wells Fargo Advisors, LLC for permitting recommendations of inverse and leveraged ETFs without proper supervision. [read post]
1 Sep 2015, 6:18 am
Schwarcz is the Stanley A. [read post]
26 Aug 2015, 3:54 am
The final speaker of the session was Dr Stanley Lai, chairman of the board of IPOS and a leading IP practitioner in Singapore, serving as the head of the IP practice at Allen & Gledhill. [read post]
24 Aug 2015, 7:16 am
(King) concerning allegations that from July 2009, through November 2012, while King was registered Morgan Stanley Smith Barney LLC (Morgan Stanley) and later Wells Fargo Advisors, LLC (Wells Fargo), circumvented Wells Fargo’s policies and procedures by assisting another broker in concealing nearly $400,000 in loans to three firm customers, loaned $25,000 to a customer without permission, participated in an undisclosed private securities… [read post]
