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18 Jul 2010, 9:59 am
On July 9, an investment firm that lost $1.2 billion dollars in mortgage backed securities sued Bank of America, Barclays, Credit Suisse, Bear Stearns (now a part of JP Morgan Chase), Citigroup, Goldman Sachs, Morgan Stanley, UBS and Deutsche Bank, in Massachusetts State Court for fraud for selling securities they knew were doomed to fail due to a lack of underwriting and oversight in the mortgage lending industry. [read post]
7 May 2013, 2:47 pm
FINRA recently announced that John Melton Hackbarth (a financial advisor that was formerly registered with Morgan Stanley Smith Barney in Birmingham, Alabama) has been barred from association with any FINRA member in any capacity. [read post]
9 Jul 2018, 12:37 pm
Synergy Investment Group, LLC Michael James McGraw Morgan Stanley Wells Fargo Advisors, LLC Curtis Dean Milakovich Kovack Securities Inc. [read post]
1 Jul 2019, 12:43 pm
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrews, Helen Morgan Stanley Barclays Capital Inc Andreyeva, Tatyana Westpark Capital, Inc Fordham Financial Management, Inc Basarian, Gary Royal Alliance Associates, Inc Integrated… [read post]
21 May 2012, 10:55 am
Did Morgan Stanley not have a big enough book? [read post]
14 May 2019, 10:25 am
From May 2010 until June 2017 Yassin was registered with Morgan Stanley. [read post]
18 Aug 2011, 8:52 pm
Morgan Stanley Mortgage Capital Holdings, LLC, No. 595-2010 (Del. [read post]
28 Mar 2023, 8:52 am
Haddadian’s employment with both Morgan Stanley and Wells Fargo ended in a six-month period in 2022. [read post]
23 Feb 2012, 7:26 am
He then joined Morgan Stanley, where he worked until this October when he was discharged. [read post]
4 Oct 2019, 5:07 am
Morgan Stanley Smith Barney LLC. [read post]
1 May 2014, 6:40 am
As such, Respondent is liable for and shall pay to Claimant the amount of $237,326.00 minus $40,000.00 awarded to Respondent, for a net amount due to Claimant of $197,326.00. 11-03662 Morgan Stanley Smith Barney LLC; Morgan Stanley Smith Barney FA Notes Holdings LLC, Morgan Stanley & Co., LLC John Darold Simmons Respondent to pay $546,336.00 in compensatory damages, which amount includes pre-judgment interest. [read post]
UBS Financial Services Inc. Secures Temporary Restraining Order Against Three Former Brokers in Ohio
2 Jun 2009, 5:52 am
Apparently, Anderson came out of retirement to join Morgan Stanley at that time as well. [read post]
26 Jan 2024, 8:27 am
According to his FINRA BrokerCheck profile, Rodriguez was a registered representative at Morgan Stanley in El Paso, Texas from 2009 until 2021. [read post]
13 Mar 2011, 8:33 pm
Morgan Stanley & Co., Inc., C.A. [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]
22 Mar 2007, 7:42 am
Appeals Court Tosses $1.58 Billion Verdict Against Morgan Stanley", Miami Daily Business Review, Mar. 22; Carolyn Elefant, LegalBlogWatch, Mar. 21; opinion text, PDF). [read post]
14 Jan 2009, 10:14 am
” The related story is Morgan Stanley’s agreement to pay $2.7 billion for a majority stake in a joint venture with Citi â [read post]
15 Mar 2012, 9:22 am
Jones & Co asserted the following causes of action against Respondents Morgan Stanley Smith Barney (? [read post]
24 Jan 2022, 1:43 pm
Jared Poe Morgan Stanley Smith Barney Morgan Stanley & Co Incorporated Yousuf Salijooki Wordon Capital Management LLC Salomon Whitney Financial Dudley Stephens Coastal Equities, Inc. [read post]
24 Jul 2018, 4:20 am
Plaintiff hired attorney to represent him in a mediation with Morgan Stanley in 2014. [read post]
