Search for: "Morgan Asset"
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8 Apr 2010, 9:32 am
Several Regions Morgan Keegan bond funds that lost more than $1 billion of investor assets have resulted in enforcement actions against Morgan Keegan & Co. and its asset management unit, Morgan Asset Management Inc., by the Securities and Exchange Commission (SEC), four states and the Financial Industry Regulatory Authority (FINRA). [read post]
13 Jan 2022, 8:39 am
Morgan fired Turley, a “star” broker who reportedly generated as much as $30 million in revenue on $1.6 billion in assets, in August. [read post]
8 Nov 2011, 9:09 am
Morgan dragged its feet when it came to settling trades made by MF Global during the time it tried sell various assets. [read post]
18 Mar 2009, 8:00 am
Quantitatively the transaction was found immaterial because it only approximated 0.3% of JPMC’s total assets. [read post]
9 Dec 2013, 8:29 am
While by no means the worst offender, Morgan Stanley is the latest. [read post]
25 Aug 2016, 1:55 pm
-Between 2011 and 2014, no account opening document or marketing materials disclosed to Indiana Investment Management account clients or Indiana JP Morgan Investment clients that JPMB preferred to invest client assets in Proprietary Mutual funds and between 2008 and 2014 JPMB did not disclose its preference for investing certain investment management account assets in certain proprietary hedge funds to Indiana clients. [read post]
22 Jun 2011, 12:22 pm
Morgan Keegan's affiliate, Morgan Asset Management, managed the funds. [read post]
26 Oct 2009, 3:18 pm
The funds were run by Jim Kelsoe, the chief-fixed income investment officer of the Memphis-based brokerage's Morgan Asset Management. [read post]
12 Jan 2012, 7:37 am
In some cases broker-dealers sell their assets and not their liabilities – instead establishing a trailing insurance policy to cover any potential litigation matters. [read post]
30 Jun 2009, 1:55 am
Further, the complaint alleges that Morgan Stanley represented to Ashland that Morgan Stanley-brokered SLARS were comprised of the highest quality assets because of their high credit ratings, the student loans were backed by the Federal Government, and the loans were not dischargeable in bankruptcy.Unlike plaintiffs in other ARS cases, Ashland alleges that Morgan Stanley specifically represented to Ashland that Ashland would never be left holding… [read post]
24 Jun 2013, 5:58 am
A final handshake on Morgan Stanley’s acquisition of Smith Barney will tie up some lingering loose ends, including a smoother clearing process for client assets, in one of the largest wealth management industry deals in the past decade. [read post]
27 Jun 2016, 7:51 am
For the entirety of my career I have encouraged clients to consolidate assets, put individual stocks into a brokerage account, make sure all assets are in your trust, and sell small assets. [read post]
1 Aug 2013, 2:23 pm
An ETF is a pool of securities and other assets that is traded on stock exchanges, much in the way that stocks are. [read post]
8 Apr 2010, 12:46 pm
Kelsoe and, as a result, "recklessly published" inaccurate net asset values, selling shares to investors based on the inflated prices. [read post]
21 Apr 2009, 6:52 am
The risk of the collapse of the funds was clear to Morgan Keegan when it sold the funds as the funds investments were highly concentrated in the lower level "tranches" of ultra-risky structured finance products such as collateralized debt obligations, collateralized mortgage obligations and other asset-backed securities, many of which were directly tied to sub-prime mortgages. [read post]
29 Jun 2011, 11:37 am
They contend that as a result, what used to be the biggest savings and loan in the country with $307 billion in assets was “drastically undervalued,” which allowed the financial firm to pick out the best assets at the expense of the plaintiffs, whose bond investments lost their value. [read post]
23 Feb 2010, 9:37 pm
Stein and his two companies are pursuing a securities claim against Regions Financial and Morgan Asset Management, Inc. [read post]
14 Sep 2012, 9:39 am
However, Harvey Kadden leads a four-man team which had combined production of more than $14 million in the trailing 12-month period and manages assets in excess of $1 billion. [read post]
6 Jun 2014, 11:50 am
For the first quarter of 2013, the top five firms which gained the most net assets are Morgan Stanley, Raymond James, Lebenthal Wealth Advisors, Dynasty Financial Partners, and Focus Financial Partners. [read post]
14 May 2012, 8:57 am
Morgan's pretax profit for the first quarter of this year. [read post]
