Search for: "Morgan Stanley & Co., Inc."
Results 141 - 160
of 419
Sort by Relevance
|
Sort by Date
1 Dec 2017, 2:55 pm
Rep., supra note 2, at 2. [13] Id. [14] See Alere, Inc., Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order, Securities Act Release No. 10,417, Exchange Act Release No. 81742 (Sept. 28, 2017), available at https://www.sec.gov/litigation/ad [read post]
29 Nov 2017, 4:23 pm
Rep., supra note 2, at 2. [13] Id. [14] See Alere, Inc., Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order, Securities Act Release No. 10,417, Exchange Act Release No. 81742 (Sept. 28, 2017), available at https://www.sec.gov/litigation/ad [read post]
15 Sep 2017, 11:51 am
Morgan Stanley Smith Barney LLC, which resulted in $13 million in monetary relief for alleged overcharges to clients of more than $16 million and alleged violations of the custody rule and compliance rule. [read post]
16 Aug 2017, 8:27 am
Jones & Co. and Morgan Stanley & Co. [read post]
29 Jul 2017, 5:32 pm
Trinity Indus., Inc. [read post]
17 Jul 2017, 11:33 pm
Morgan Stanley Dean Witter, 224 F.3d 496, 498 (5th Cir. 2000). [read post]
10 Jul 2017, 2:28 pm
Although the eight firms this—is Bank of America Corporation, The Bank of New York Mellon Corporation, Citigroup Inc., The Goldman Sachs Group, Inc., JPMorgan Chase & Co., Morgan Stanley, State Street Corporation and Wells Fargo & Company—were required to submit their plans on July 1, 2017, the Board and FDIC also announced that they were extending the deadline for American International Group, Inc. [read post]
19 May 2017, 8:52 am
Most recently, Yocum worked with Morgan Stanley from 2009 through 2015 and Summit Brokerage Services, Inc. from December 2015 to March 2016. [read post]
31 Jan 2017, 12:06 pm
His most recent registration was with Morgan Stanley in New York. [read post]
11 Nov 2016, 4:07 am
Morgan Stanley, No. 14-3800-cv (2d Cir. [read post]
21 Sep 2016, 7:36 pm
The court found that this was enough and the details of the other bidders were superfluous Finally, Plaintiffs asserted that information concerning Morgan Stanley & Co. [read post]
29 Jun 2016, 4:27 pm
The Federal Reserve did not object to the capital plan of Morgan Stanley, but is requiring the firm to submit a new capital plan by the end of the fourth quarter of 2016 to address certain weaknesses in its capital planning processes. [read post]
9 Jun 2016, 6:19 pm
(NYSE: JPM), Morgan Stanley (NYSE: MS) and Wells Fargo & Co. [read post]
13 Apr 2016, 4:58 pm
(PDF)JPMorgan Chase & Co. [read post]
11 Apr 2016, 11:28 am
· Morgan Stanley Investment Management and one of its portfolio managers who paid nearly $9 million for unlawfully conducting “parking” trades that favored certain advisory client accounts over others that included an investment company. [read post]
29 Feb 2016, 4:43 pm
Taylor, 782 F.3d 1142 (10th Cir. 2015); In re Merck & Co., Inc. [read post]
22 Jan 2016, 5:53 am
While there is a rebuttable presumption of equal ownership of funds among parties to a multiple party account (see our summary of Morgan Stanley & Co. [read post]
28 Dec 2015, 7:22 pm
Morgan Stanley & Co. [read post]
28 Dec 2015, 7:22 pm
Morgan Stanley & Co. [read post]
7 Nov 2015, 10:01 pm
Chamber of Commerce, for example, recently sent over a 60-person delegation from 32 companies, including Boeing, Sprint, American Airlines, Caterpillar, and Morgan Stanley. [read post]
