Search for: "IN RE MORGAN STANLEY"
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15 Jan 2018, 4:00 am
According to a Morgan Stanley Analyst quoted in the New York Times “In the first quarter of 2016, 85 cents of every new dollar spent in online advertising will go to Google or Facebook. [read post]
25 Nov 2017, 4:42 am
Which also means that you're getting ready for another round of annual compliance meetings, annual compliance questionnaires, and annual reviews of your book of business (and you're once again hoping that your firm doesn't uncover that sho... [read post]
23 Oct 2017, 8:06 am
He thinks the tax cuts will focus on the middle class, corporations, and pass-throughs, not wealthy individuals, and that it will end up around 20 to 22 percent on corporate taxes.Michael Stein, managing director and global head of government relations at Morgan Stanley agreed that there will likely be tax cuts. [read post]
12 Oct 2017, 4:23 am
, Morgan Stanley and Viacom Inc. at odds with the Trump administration. [read post]
28 Sep 2017, 9:30 pm
The Financial Industry Regulatory Authority (FINRA) issued Morgan Stanley $13 million in fines and restitution to affected customers for “failing to supervise its representatives’ short-term trades” of portfolios of securities with specific maturity dates. [read post]
5 Sep 2017, 5:35 am
In today's BrokeAndBroker.com Blog, we examine a case of a stockbroker who seems to have cut a check to reimburse an unhappy customer who's rankled by Morgan Stanley's commissions. [read post]
31 Aug 2017, 3:23 pm
We’re still sorting through the new names and we want your help. [read post]
25 Aug 2017, 12:56 pm
Morgan Stanley has stated: “In fact, since 2010, the share of Subprime Auto ABS [asset-backed securities] origination that has come from these deep subprime deals has increased from 5.1% to 32.5%. [read post]
21 Aug 2017, 5:00 am
File no. 3-17808 (Jan. 24, 2017), and In the Matter of Morgan Stanley Smith Barney LLC, SEC, Admin. [read post]
11 Aug 2017, 1:56 pm
Such loans are big “revenue drivers” at firms like Merrill Lynch, Morgan Stanley, Fidelity and Goldman Sachs, according to InvestmentNews, an industry trade newspaper. [read post]
17 Jul 2017, 11:33 pm
Morgan Stanley Dean Witter, 224 F.3d 496, 498 (5th Cir. 2000). [read post]
7 Jul 2017, 4:41 am
Fitz-Gerald has been employed with Morgan Stanley since November 2008. [read post]
30 Jun 2017, 11:52 am
An authority for this proposition was Bowater v NW London Hospitals NHS Trust [2011] IRLR 331, where Stanley Burnton LJ said: The appellant’s conduct was rightly made the subject of disciplinary action. [read post]
31 May 2017, 7:27 am
The board retained Morgan Stanley and then JPMorgan, created an ad hoc committee of experienced independent directors, was willing to walk away if it did not get a satisfactory price, and was prepared to take on a proxy fight if the company’s more active stockholders were unhappy with the board’s decision. [read post]
27 Mar 2017, 3:09 pm
In its October 2014 decision in In re NVIDIA Corp. [read post]
1 Mar 2017, 3:23 pm
Unless they’re made to. [read post]
4 Jan 2017, 3:55 pm
Annual Re-Certification of CFTC Exemptions. [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]
26 Jul 2016, 9:20 am
In a recent FINRA arbitration, the likely-confident Morgan Stanley demanded repayment of nearly $10 million in promissory notes. [read post]
16 Jun 2016, 2:48 pm
Morgan Stanley. [read post]
