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8 May 2012, 11:06 am
Sibal also referred to the decision of this Court in Morgan Stanley Mutual Fund Vs. [read post]
8 May 2012, 6:00 am
The National Hockey League is presently holding the Stanley Cup Playoffs. [read post]
8 May 2012, 1:07 am
” Judge Scheindlin also allowed the negligent misrepresentation claims to go forward as to IKB Deutsche Industriebank and Morgan Stanley. [read post]
7 May 2012, 2:07 pm
FINRA recently has announced that it has sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
7 May 2012, 7:09 am
., Morgan Stanley, UBS Financial Services Inc. and Wells Fargo recently agreed to pay $9.1 million to settle allegations that they sold leveraged and inverse exchange-traded funds to clients who had no business investing in the complex instruments. [read post]
JENNIFER RUBIN THINKS THE NEW MEDIA ARE BLOWING IT AND FALLING FOR OBAMA’S DISTRACTIONS. Well, she …
5 May 2012, 7:55 am
Plus, related thoughts from Stanley Kurtz. [read post]
4 May 2012, 2:00 pm
She has volunteered her time to support various community groups such as the Stanley M. [read post]
4 May 2012, 6:44 am
Earlier this week, leveraged and inverse ETFs took center stage when the Financial Industry Regulatory Authority (FINRA) levied $9.1 million in penalties on four major banks – Citigroup Global Markets, Morgan Stanley & Co., UBS Financial Services and Wells Fargo Advisors – for their role in selling the risky investments to retail clients who, because of their conservative risk profiles, should never have purchased them. [read post]
3 May 2012, 11:58 am
The Financial Industry Regulatory Authority (FINRA) announced that it ordered Citigroup Global Markets, Morgan Stanley, UBS Financial Services, and Wells Fargo Advisors to pay more than $9.1 million for failure to supervise and failure to have a reasonable basis for recommending selling leveraged and inverse exchange traded funds. [read post]
3 May 2012, 5:33 am
Several of the nation’s leading banks – including Citigroup, Morgan Stanley, UBS and Wells Fargo – were recently sanctioned by the Financial Industry Regulatory Authority (FINRA) for more than $9.1 million over their failure to supervise retail sales of leveraged and inverse exchange-traded funds (ETFs). [read post]
2 May 2012, 6:29 am
FINRA announced that it has fined Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
2 May 2012, 6:14 am
("Citigroup"), Morgan Stanley, UBS Financial Services, Inc. [read post]
1 May 2012, 2:22 pm
FINRA announced that it sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision... [read post]
1 May 2012, 2:16 pm
The books and records provision is enforced regularly, most recently in the conspiracy prosecution of a former managing director of Morgan Stanley for hiding deals with a Chinese official. [read post]
1 May 2012, 2:16 pm
The books and records provision is enforced regularly, most recently in the conspiracy prosecution of a former managing director of Morgan Stanley for hiding deals with a Chinese official. [read post]
1 May 2012, 9:41 am
Stanley [read post]
1 May 2012, 8:36 am
Citigroup, Morgan Stanley, UBS and Wells Fargo agreed to pay fines of more than $9 million to settle cases tied to exchange-traded funds. [read post]
1 May 2012, 2:00 am
In addition, we cover two decisions from the First Department: one addressing the heightened standard for fraud claims brought by sophisticated investors, and another affirming the dismissal of a Morgan Stanley shareholder derivative suit alleging excessive executive compensation. [read post]
30 Apr 2012, 12:18 pm
Peterson, a former executive at Morgan Stanley, with violating the Foreign Corrupt Practices Act (FCPA) as well as securities laws for investment advisers by secretly acquiring millions of dollars worth of real... [read post]
27 Apr 2012, 10:36 am
This research was brought to our attention by Stanley Leasure, who writes a fairly new blog, Eminent Domain ADR. [read post]
