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7 May 2014, 3:29 pm
Furthermore, FINRA found that Morgan Stanley failed in their supervisory responsibilities. [read post]
1 May 2014, 6:40 am
As such, Respondent is liable for and shall pay to Claimant the amount of $237,326.00 minus $40,000.00 awarded to Respondent, for a net amount due to Claimant of $197,326.00. 11-03662 Morgan Stanley Smith Barney LLC; Morgan Stanley Smith Barney FA Notes Holdings LLC, Morgan Stanley & Co., LLC John Darold Simmons Respondent to pay $546,336.00 in compensatory damages, which amount includes pre-judgment interest. [read post]
29 Apr 2014, 8:07 am
On April 17, Justice Eileen Bransten of the Supreme Court of the State of New York dismissed all claims in a suit brought by investment vehicle Sealink Funding Ltd. in connection with RMBS purchased from Morgan Stanley. [read post]
22 Apr 2014, 4:11 am
In an interesting April 7, 2014 opinion (here), Magistrate Judge Stanley A. [read post]
17 Apr 2014, 5:13 am
” Rio, Belle & Sheba from Tim Stanley of Justia, Inc. [read post]
14 Apr 2014, 4:00 am
Helen Lawrence is playing at The Stanley Industrial Alliance Stage in Vancouver until April 13, 2014. [read post]
9 Apr 2014, 6:30 am
, Working Paper, no. 68 (IMI, April 2013) [text]Preventing Mass Atrocities: Resilient Societies, State Capacity, and Structural Reform, Policy Dialogue Brief (Stanley Foundation, April 2014) [text via ReliefWeb]"Quantifying Global International Migration Flows," Science Magazine, vol. 343, no. 6178 (March 2014) [free access via author site]Refugee or Migrant Diasporas: Does it Make a Difference? [read post]
7 Apr 2014, 7:01 am
The law offices of Gana LLP recently filed a complaint against RBC Capital Markets, LLC (RBC) and Morgan Stanley Smith Barney, LLC (Morgan Stanley) accusing their registered representative Bruce Weinstein (Weinstein) of churning (excessive trading) and making unsuitable recommendations. [read post]
4 Apr 2014, 2:42 pm
Over ten years, Bloomberg reported that twenty nine Citigroup and Morgan Stanley funds charged over $1.5 billion in fees to investors. [read post]
1 Apr 2014, 3:16 pm
As such, Morgan Stanley has placed Eydelman on leave pending further investigation and both companies have stated that they intend to fully cooperate with authorities. [read post]
1 Apr 2014, 5:42 am
Thereafter, from September 2010 until May 2011, Mallett was associated with Morgan Stanley Smith Barney (Morgan Stanley). [read post]
28 Mar 2014, 11:29 pm
That lets in Bacon, William Stanley, the 5th Earl of Derby, and a goodly number of other noblemen who were squires at their county seats. [read post]
25 Mar 2014, 7:02 am
A Morgan Stanley broker and a Simpson Thacher clerk have been charged with insider trading around more than a dozen mergers or other corporate transactions for illicit profits of $5.6 million during a four-year period.In a parallel action, the U.S. [read post]
20 Mar 2014, 5:00 am
Metro and Eydelman (.pdf) Morgan Stanley Broker Charged in Post-It Insider Scheme by David Voreacos and Alan Katz in Bloomberg 10 Inconvenient Truths About Law Firm Compliance (.pdf) by Donna Boehme and Joseph Murphy Do Law Firms Need Compliance Programs? [read post]
18 Mar 2014, 1:12 pm
., JP Morgan, JWT, Jones Day, KM Asset Management, Lexington Partners, Larraín Vial Corredores de Bolsa, LATAM, Los Andes Copper Inc, Mainstream, Minera Los Ríos, Minera Lone Star, Moneda Asset Management, Morgan Stanley, Morgan Group, Morningstar, Multicaja, Negocios y Valores, Nevasa HCM, Ogilvy, Oster, Odebrecht, Parque del Sendero, Pattern Energy, Proyecto Eólico El Arrayán, Portal Inmobiliario, Precursor Private Equity Fund, Resort Condominiums… [read post]
17 Mar 2014, 4:09 pm
Horowitz’s BrokerCheck report indicates he was a registered representative of Morgan Stanley SW from January 2001 through April 2007, and Morgan Stanley & CO form April 2007 through September 2008. [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]
11 Mar 2014, 9:01 pm
The husband had appealed from the 2009 decision of Judicial Hearing Officer Stanley Gartenstein who had awarded him only 15% of the marital property. [read post]
10 Mar 2014, 10:55 am
., Morgan Stanley Smith Barney, LLC, Chuck A. [read post]
5 Mar 2014, 12:22 pm
Morgan Stanley & Co., Case No. 1:13-cv-03299-AT (S.D.N.Y. [read post]
