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3 Jul 2012, 7:17 am
According to a report in the Courthouse News, Delsa Thomas, a financial advisor formerly with Morgan Stanley Smith Barney, allegedly recommended that investors invest in Tejas Eagle Financial, LLC while she was employed by Morgan Stanley Smith Barney. [read post]
3 Jul 2012, 7:17 am
According to a report in the Courthouse News, Delsa Thomas, a financial advisor formerly with Morgan Stanley Smith Barney, allegedly recommended that investors invest in Tejas Eagle Financial, LLC while she was employed by Morgan Stanley Smith Barney. [read post]
29 Jun 2012, 11:14 am
Morgan Stanley, et. al., 1-11-cv-06696 (NYSD June 27, 2012, Order) (Forrest, J.). [read post]
29 Jun 2012, 8:00 am
Plaintiffs provide comparisons of Goldman’s average pay per employee to firms such as Morgan Stanley, Bear Stearns, Merrill Lynch, Citigroup, and Bank of America. [read post]
29 Jun 2012, 7:01 am
In Chicago, it is estimated that motorists may pay a Morgan Stanley-led partnership at least $11.6 billion to park at city meters over the next 75 years, 10 times what former Mayor Richard Daley got when he leased the system in 2008. [read post]
25 Jun 2012, 8:48 am
Morgan Stanley Long Term Disability Plan, 683 F.3d 1083 (9th Cir. [read post]
23 Jun 2012, 3:28 pm
Meantime, the SEC has named ex-Morgan Stanley (MS) executive Thomas J. [read post]
22 Jun 2012, 3:13 pm
For example, in 2004, Morgan Stanley paid $54 million to settle a suit by its female employees who claimed they were excluded from client meetings that took place at strip clubs. [read post]
22 Jun 2012, 12:36 pm
Those structured products include Morgan Stanley Basket Opportunity Exchangeables (Morgan Stanley BOXES), Morgan Stanley Broad Index Guarded Equity Linked Securities (Morgan Stanley BRIDGES), Morgan Stanley Commodity Index Preferred Securities (Morgan Stanley COMPS), Morgan Stanley Equity-Linked Securities with Lock-in Protection (Morgan Stanley… [read post]
21 Jun 2012, 8:13 am
Brokerage firms around the country such as Wachovia Securities n/k/a Wells Fargo Securities, Morgan Stanley, UBS, Smith Barney, Merrill Lynch, Bank of America and many others were actively engaged in the selling of Fannie Mae preferred stock to their customers in secondary public offerings and in the aftermarket. [read post]
20 Jun 2012, 6:59 pm
Big American institutions like Citigroup and JPMorgan hold more than $10 billion in foreign sovereign debt on their balance sheets, while Morgan Stanley and Goldman each have over $5 billion. [read post]
19 Jun 2012, 5:07 pm
Read the SEC's Statement of General Policy (PDF) SEC Issues “Roadmap” on Phase in of Derivatives Regulation, SEC, June 11, 2012 More Blog Posts: SEC Proposes New Rule to Verify Swap Transactions, Institutional Investor Securities Blog, January 7, 2011 Financial Firms File Securities Fraud Lawsuits Against Each Other Over 2008 Credit and Subprime Crisis, Institutional Investor Securities Blog, November 29, 2010 Ex-Morgan Stanley Trader to Settle SEC… [read post]
19 Jun 2012, 8:33 am
Morgan Stanley also provided frequent training for its employees on these issues. [read post]
18 Jun 2012, 3:00 am
According to a new study from Morgan Stanley Private Wealth Management and Campden Wealth entitled, "Next-Generation Wealth: The New Face of Affluence," and as reviewed by Private Wealth magazine, there is a tangible divide between the heads of today's high-net-worth families and their inheritors. [read post]
16 Jun 2012, 9:28 pm
The Ex-Morgan Stanley Smith Barney broker (and before that he worked for predecessor company Citigroup Global Markets Inc. [read post]
16 Jun 2012, 5:00 am
.; Morgan Stanley Corp.; and Duke Energy Corp. [read post]
13 Jun 2012, 7:27 am
Morgan Chase. [read post]
13 Jun 2012, 5:05 am
Welcome to the other dimension of FINRA mandatory intra-industry arbitration... [read post]
13 Jun 2012, 1:20 am
In the 1970s the largest investment banks – Morgan Stanley, Lehman Brothers, Salomon Brothers, Goldman Sachs and others -- were general partnerships. [read post]
13 Jun 2012, 1:20 am
In the 1970s the largest investment banks – Morgan Stanley, Lehman Brothers, Salomon Brothers, Goldman Sachs and others -- were general partnerships. [read post]
