Search for: "Jim Stanley"
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18 Mar 2015, 2:21 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:A former advisor and his sales assistant have been sued by Morgan Stanley for allegedly altering client records before they transferred customer accounts to Ameriprise Financial.John McCallion and Tricia Macaluso altered telephone numbers in the company’s computer system in order to hinder his clientele before leaving Ameriprise. [read post]
18 Feb 2015, 8:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices:Many wirehouses have deferred compensations for their advisors. [read post]
16 Jan 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA handed out some hefty fines to financial firms in 2014. [read post]
5 Jan 2015, 12:26 pm
In that time we were all Jaycees, we didn’t really look at each other as Democrats or Republicans and so I had friends in both political parties who were friends of both Bob Scott and Jim Holshouser. [read post]
5 Jan 2015, 12:26 pm
In that time we were all Jaycees, we didn’t really look at each other as Democrats or Republicans and so I had friends in both political parties who were friends of both Bob Scott and Jim Holshouser. [read post]
12 Sep 2014, 9:07 am
” Morgan Stanley also received at least another $250,000 from each of 104 fund families in “shelf space” fees. [read post]
29 Aug 2014, 9:58 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Wells Fargo leads the 2014 recruiting game over Merrill Lynch, Morgan Stanley and UBS. [read post]
18 Aug 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC charged three Morgan Stanley entities with misleading investors in a pair of residential mortgage-backed securities (RMBS) securitizations that the firms underwrote, sponsored, and issued. [read post]
5 Aug 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has fined Morgan Stanley $1 million for failing to supervise a commission-sharing program for retired brokers. [read post]
21 Jul 2014, 10:58 am
Jim Martin suggested Stanley Kubrick’s 1957 “Paths of Glory” which is based on real events in France during World War I. [read post]
14 Jul 2014, 7:01 am
According to the president of Morgan Stanley’s wealth management division, more than half of Morgan Stanley’s brokers have marketed loans to their clients. [read post]
23 Jun 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Ameriprise Financial, a regional independent brokerage firm, has raised its minimum signing bonus for its top recruitsfrom $1 million to nearly $1.25 million as it competes in the same recruiting arena as UBS, Morgan Stanley, Bank of America’s Merrill Lynch and Wells Fargo. [read post]
6 Jun 2014, 11:50 am
While Morgan Stanley is a wirehouse, the rest are not. [read post]
26 May 2014, 7:01 am
Morgan Stanley was sued earlier this year when it recruited a trust adviser from PNC Bank. [read post]
22 May 2014, 7:44 am
II. [read post]
19 May 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has fined Morgan Stanley $5 million for allegedly failing to keep watch over how its financial advisers solicited client interest in 83 initial public offerings, including some big-ticket offerings such as Yelp and Facebook. [read post]
13 Mar 2014, 2:47 am
Jim McRitchie has blogged about both the EMC and Omnicom outcomes. [read post]
21 Dec 2013, 2:10 pm
Their works should be classics, and yet they're outsold by Jim Butcher, John Scalzi, and Stephenie Meyer. [read post]
20 Dec 2013, 2:03 pm
[BigLaw Rebel] * Jim Harbaugh gets all his legal acumen from Judge Judy. [read post]
11 Dec 2013, 9:23 am
On February 15, she and the rest of the U.S. figure skating team were killed in a plane crash near Brussels, Belgium while en route to the World Figure Skating Championships in Prague, Czechoslovakia.May 29, 1961: Johnny Boyd appears uncredited driving in preparation for the Indianapolis 500, he retired during the race with clutch problem.[6]May 1, 1967: Chaparral's Jim Hall, who appeared along with his Chaparral 2F on the cover, would go on to… [read post]
