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9 Jan 2018, 6:09 am
Morgan Stanley (17-363): This petition asked whether a plaintiff prosecuting a misappropriation theory insider trading claim establishes scienter by proving that: (1) the defendant knowingly possessed material, nonpublic information; (2) the defendant owed a duty to keep such information confidential; and (3) the defendant breached its duty by trading on the basis of that information. [read post]
8 Jan 2018, 3:13 am
I’m not blaming the parties but I’m sorta wonderin’ if FINRA couldn’t have, you know, read through a draft of the proposed FINRA Arbitration Decision and, well, okay, like maybe asked for a tad more content and context as in, well, like, how should I put it, like, just what the hell is it that the Claimants alleged had happened at Morgan Stanley Smith Barney concerning, lemme see, oh yeah, concerning their “purchase of call options in Apple, Inc.… [read post]
4 Jan 2018, 9:44 am
From June 2009 until June 2014 Wilson was associated with Morgan Stanley. [read post]
2 Jan 2018, 6:58 am
” Lacerte has spent thirty years in the securities industry and was most recently registered with Morgan Stanley in Colorado Springs, Colorado (2009-2016). [read post]
27 Dec 2017, 12:32 pm
Fackrell was previously registered with Morgan Stanley in Winston-Salem, North Carolina from August 2007 until February 2008, SunTrust Investment Services in Yadkinville, North Carolina from July 2008 until December 2009, Wells Fargo in High Point, North Carolina from December 2009 until June 2010 and LPL in Yadkinville from June 2010 until December 2014. [read post]
27 Dec 2017, 7:37 am
Eglow was previously registered with SunTrust Investment Services, Wells Fargo Advisors, Morgan Keegan & Company, Morgan Stanley Smith Barney, Morgan Stanley & Company, FIA Capital Group, CCC Advisors, Inc. and Drexel Burnham Lambert Incorporated. [read post]
18 Dec 2017, 2:06 pm
From February 2011 through November 2014 Paynter was associated with Morgan Stanley. [read post]
15 Dec 2017, 3:00 am
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. [read post]
14 Dec 2017, 10:48 pm
The settlement was part of a wider action in the US and Europe netting over $10 billion from banks including Bank of America, Citigroup, JPMorgan Chase, and Morgan Stanley. [read post]
10 Dec 2017, 6:59 am
From June 2009 until August 2013 Heiden was associated with Morgan Stanley. [read post]
5 Dec 2017, 8:19 am
Roach, described by Yale as one of Wall Street's most influential economists, spent the bulk of his 30-year career at Morgan Stanley heading up a highly regarded team of economists around the world. [read post]
4 Dec 2017, 4:03 pm
On September 25, 2017, the Financial Industry Regulatory Authority (“FINRA”) issued a fine of $3.25 million against Morgan Stanley Smith Barney LLC (“Morgan Stanley”) in connection with the brokerage firm’s alleged failure to supervise its brokers’ short-term trades of unit investment trusts. [read post]
3 Dec 2017, 9:38 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against former Morgan Stanley broker Peter Doyle (Doyle). [read post]
1 Dec 2017, 2:55 pm
One of the most eye-catching items in the recently released 2017 Annual Report of the Enforcement Division of the Securities and Exchange Commission (SEC or the Commission) is the significant decline in enforcement activity from 2017. [read post]
30 Nov 2017, 11:16 am
With Morgan Stanley and UBS out of the Broker Protocol, questions are swirling around the future of the accord and its impact on recruiting. [read post]
29 Nov 2017, 4:23 pm
One of the most eye-catching items in the recently released 2017 Annual Report of the Enforcement Division of the Securities and Exchange Commission (SEC or the Commission) is the significant decline in enforcement activity from 2017. [read post]
27 Nov 2017, 10:51 am
After its creation inHowever, last month, Morgan Stanley announced it was withdrawing from the protocol. [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… [read post]
22 Nov 2017, 8:14 am
Today's BrokeAndBroker.com Blog considers a recent regulatory settlement imposed upon a former stockbroker by the Financial Industry Regulatory Authority. [read post]
15 Nov 2017, 6:21 pm
Thereafter, from 2000 to 2004, Camarco became registered with Morgan Stanley DW Inc. [read post]
