Search for: "Stanley S."
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20 Sep 2024, 10:27 am
A private securities transaction is defined as any transaction outside the broker’s regular duties with the firm, and selling compensation includes any form of payment related to the sale of a security. [read post]
29 May 2009, 11:17 am
Is Morgan Stanley's profit engine getting ready to hum again? [read post]
28 Jun 2023, 6:55 am
https://twitter.com/Moonalice/status/1673862296785780737 Buy one of these beautiful posters here https://store.moonalice.com/collections/stanley-mouse and help a great artist on the long road to stroke recovery. [read post]
3 Dec 2017, 9:38 am
Before Doyle’s termination, Morgan Stanley was ordered by a FINRA arbitration panel to pay over $8 million in damages in a customer dispute concerning allegations that Doyle made unauthorized trades, failed to disclose fees, and engaged in the financial abuse of an elderly customer. [read post]
3 Feb 2011, 8:53 am
Stanley v. [read post]
21 Mar 2022, 7:59 am
Morgan Stanley can be held liable for Shawn Good’s scheme for two primary reasons. [read post]
24 Aug 2021, 11:28 am
Morgan Stanley acknowledged the shares were sold without Rudnick’s authorization. [read post]
10 Feb 2010, 12:49 pm
Burlington is asking a Financial Industry Regulatory Authority (FINRA) arbitration panel to order Morgan Stanley to pay the city, its board and the plan actual damages incurred as a result of Morgan Stanley’s alleged misconduct. [read post]
24 Jan 2013, 4:49 pm
The story of how Joint Special Operations Command, working with many other agencies and nations, built itself into a powerful network capable of studying, tracking, hunting, and finally killing Zarqawi is at the heart General Stanley McChrystal’s memoir. [read post]
23 Jan 2017, 3:12 pm
Here's the link: http://web.law.columbia.edu/chinese-legal-studies/collected-works-stanley-b-lubman [read post]
18 Oct 2011, 7:54 am
In his latest New York Times column, Stanley Fish discusses the Hosanna-Tabor case and the debate over the ministerial exception. [read post]
17 Jan 2023, 12:33 pm
Members Ed Comitz and Pat Stanley have been named two of Arizona’s top 100 lawyers for 2023 by AZ Business Magazine. [read post]
27 Jun 2022, 12:01 pm
Following up on my previous post, A Half-Century with the Internal Revenue Code: The Memoirs of Stanley S. [read post]
15 Jun 2023, 7:22 pm
A former Morgan Stanley advisor has agreed to a suspension and fine to resolve charges brought by brokerage industry self-regulator Finra relating to unauthorized gifts she allegedly received from an elderly client.Sharon Hayut accepted Finra’s findings without admitting or denying the allegations in a letter of acceptance, waiver, and consent (AWC), which described [...] [read post]
9 Jun 2023, 10:22 am
Attorney’s Office for the Eastern District of Texas. [read post]
23 Oct 2009, 7:30 am
Morgan Stanley Smith Barney announced the integration of Smith Barney's Citi Family Office into its own ultra-high-net-worth division, which will now be called Morgan Stanley Private Wealth Management. [read post]
30 Mar 2022, 5:57 am
As the proposed class action complaint against Morgan Stanley for its deferred compensation program winds its way through the Courts, former Morgan Stanley brokers are asking if they are better served by filing their own claims in arbitration.In many cases, the answer is yes. [read post]
5 Aug 2010, 1:51 pm
A sharp disagreement between the economists at Goldman Sachs and Morgan Stanley adds yet another twist to the fierce rivalry between the two firms, Wall Street's version of the New York Yankees and the Boston Red Sox. [read post]
5 Oct 2009, 3:01 pm
strong>Morgan Stanley has hired Kevin Dunleavy from Bank of America Merrill Lynch to be a managing director in the firm's sales and trading division. [read post]
21 Jul 2010, 7:51 am
Morgan Stanley's core trading unit surprised investors on Wednesday by reporting a relatively small 15 percent drop-off in revenue in the second quarter from the first quarter. [read post]
