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20 Jan 2017, 5:00 am
Court of Appeals for the Sixth Circuit ruled unanimously against John Verble, a former Morgan Stanley Smith Barney financial adviser who claims he was fired in 2013 for cooperating with the FBI in an investigation. [read post]
4 Jan 2017, 3:55 pm
www.colefrieman.com January 4, 2016 Clients, Friends, Associates:While the holiday season is a cause for celebration and reflection, it is also the busiest time of the year for most investment managers. [read post]
4 Jan 2017, 8:24 am
According to his FINRA Broker Check, Speno was registered with Morgan Stanley in New York, NY from 08/09/2013 – 04/08/2015. [read post]
27 Dec 2016, 12:28 pm
” He was referring to a similar bank scandal, pointing out that the head of Morgan Stanley’s due-diligence team not only wrote in an email that they were willing to accept what he called a “slightly higher risk tolerance” for loans, he also told everybody not to mention in “in these communications” (like the one he was then sending) because “[W]e are running under the radar and do not want to document these types of things” (like… [read post]
20 Dec 2016, 9:05 am
Morgan Stanley also significantly increased the amount of excess funds it maintains in its customer reserve account. [read post]
9 Dec 2016, 7:25 am
From February 2011 until January 2012 Kievman was associated with Morgan Stanley Smith Barney. [read post]
8 Dec 2016, 6:44 am
This one involves ten promissory notes worth a few million dollars issued to two former Morgan Stanley Smith Barney employees. [read post]
6 Dec 2016, 3:00 am
This Cydney Posner blog reviews the mechanics of the COB process laid out in Morgan Stanley’s request. [read post]
2 Dec 2016, 11:11 am
From June 2007 through July 2015, Lambert was registered with Morgan Stanley. [read post]
29 Nov 2016, 6:28 am
The contest was alleged to have generated $24 million in new loans and was run despite an internal Morgan Stanley prohibition on such initiatives. [read post]
23 Nov 2016, 1:02 am
Morgan Stanley, No. 14-3800-cv (2d Cir. [read post]
21 Nov 2016, 3:28 pm
According to On Wall Street after overhauling its recruiting deals in light of new regulatory guidance on the fiduciary rule, Morgan Stanley is again tweaking its transition package for elite brokers.The wirehouse is sweetening the deal for advisers in the top quintile, offering up to 175% of a broker's 12-month trailing production to move, according to two people familiar with the matter.However, there is no back end - because of the fiduciary rule.Morgan… [read post]
19 Nov 2016, 5:00 am
Business writer Anamika Roy reported Thursday that New York-based investment bank Morgan Stanley & Co. plans to expand its presence in Baltimore by adding ... [read post]
17 Nov 2016, 1:10 pm
Kicking off its Healthy Cities initiative in Baltimore, Morgan Stanley recently joined with KaBOOM! [read post]
17 Nov 2016, 1:00 pm
Morgan Stanley & Co. is expanding its presence in Baltimore by adding 800 new jobs over the next four years and opening a new downtown office, the New York financial firm announced Thursday. [read post]
11 Nov 2016, 4:07 am
Morgan Stanley, No. 14-3800-cv (2d Cir. [read post]
3 Nov 2016, 11:44 am
"Goldman, JPMorgan, Morgan Stanley defeat appeal over Facebook IPO": Jonathan Stempel of Reuters has this report on a ruling that the U.S. [read post]
31 Oct 2016, 7:47 am
From April 2007 until January 2013, Fox was associated with Morgan Stanley. [read post]
28 Oct 2016, 7:08 am
Morgan, Bank of America, Citigroup, BNY Mellon, State Street, Morgan Stanley, and Goldman Sachs—formed a group to share security threats and intelligence, as well as to run war games. [read post]
21 Oct 2016, 7:35 am
From June 2009 until June 2016, Aguilar was associated with Morgan Stanley. [read post]
