Search for: "MORGAN STANLEY "
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17 Mar 2023, 2:56 pm
From bank failures to fraud perpetrated by major brokerage firms like Merrill Lynch and Morgan Stanley, retail investors have a lot to be worried about in 2023. [read post]
15 Mar 2023, 7:22 am
” “Big banks” refer to Citigroup, Morgan Stanley, JP Morgan, etc. [read post]
15 Mar 2023, 2:01 am
Army officer, and a Rhodes Scholar, Jen has served her country in a plethora of senior cybersecurity and counterterrorism roles, and most recently before her return to government, was the head of Firm Resilience at Morgan Stanley. [read post]
14 Mar 2023, 7:48 pm
CNBC: Morgan Stanley is rolling out an advanced chatbot powered by OpenAI’s latest technology to help the bank’s army of financial advisors, CNBC has learned. [read post]
13 Mar 2023, 4:17 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6936/securities-industry-commentator/ A Form Of Lunacy Has Overtaken The SEC (BrokeAndBroker.com Blog) FINRA's Travesty of a Transamerica Settlement (BrokeAndBroker.com Blog) Morgan Stanley Granted TRO Against Advisor Who Joined LPL / After a whirlwind two days of motion-slinging, the parties agreed to arbitration. [read post]
13 Mar 2023, 4:17 am
A Form Of Lunacy Has Overtaken The SEC (BrokeAndBroker.com Blog) FINRA's Travesty of a Transamerica Settlement (BrokeAndBroker.com Blog) Morgan Stanley Granted TRO Against Advisor Who Joined LPL / After a whirlwind two days of motion-slinging, the parties agreed to arbitration. [read post]
10 Mar 2023, 12:48 pm
SVB’s troubles have had a major impact on other banks and financial firms such as JPMorgan Chase (JPM), Morgan Stanley (MS), Charles Schwab (SCHW), Bank of America (BAC) and Wells Fargo (WFC), which have shed billions in value as their stock prices have tumbled. [read post]
3 Mar 2023, 6:30 am
Jackson (Harvard Law School), Tyler Gellasch (Healthy Markets Association), on Tuesday, February 28, 2023 Tags: Congress, Goldman Sachs, Investor protection, MiFID, Morgan Stanley, SEC The Universal Proxy: An Early Look Posted by Keir Gumbs, Broadridge, on Tuesday, February 28, 2023 Tags: Corporate governance, NYSE, Proxy season, Rule 14a-2, SEC, Universal Proxy Fiduciary Duties of Public Pension Systems and Registered Investment Advisors Posted by Jed Rubenfeld, Strive… [read post]
3 Mar 2023, 6:30 am
Jackson (Harvard Law School), Tyler Gellasch (Healthy Markets Association), on Tuesday, February 28, 2023 Tags: Congress, Goldman Sachs, Investor protection, MiFID, Morgan Stanley, SEC The Universal Proxy: An Early Look Posted by Keir Gumbs, Broadridge, on Tuesday, February 28, 2023 Tags: Corporate governance, NYSE, Proxy season, Rule 14a-2, SEC, Universal Proxy Fiduciary Duties of Public Pension Systems and Registered Investment Advisors Posted by Jed Rubenfeld, Strive… [read post]
28 Feb 2023, 7:41 am
Raymond James Financial Services David Weigel PBC Capital Markets, LLC Morgan Stanley Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
28 Feb 2023, 6:30 am
The Problem of Bundled Commissions Securities firms like Morgan Stanley and Goldman Sachs typically offer investors potentially valuable research as well as trading services. [read post]
28 Feb 2023, 6:30 am
The Problem of Bundled Commissions Securities firms like Morgan Stanley and Goldman Sachs typically offer investors potentially valuable research as well as trading services. [read post]
23 Feb 2023, 8:35 am
Barclays, Citi, Credit Suisse, Deutsche Bank, Goldman Sachs, Morgan Stanley and UBS all paid $125 million to the SEC and $75 million to the CFTC . [read post]
23 Feb 2023, 8:35 am
Barclays, Citi, Credit Suisse, Deutsche Bank, Goldman Sachs, Morgan Stanley and UBS all paid $125 million to the SEC and $75 million to the CFTC . [read post]
22 Feb 2023, 9:35 am
According to his FINRA broker report, Souma was reportedly affiliated with the following firms during his career in the securities industry: 07/01/2020 – 07/01/2022, INSIGNEO SECURITIES, LLC (CRD#:29249), Beverly Hills, CA, B, 06/01/2016 – 07/30/2020, MORGAN STANLEY (CRD#:149777), LOS ANGELES, CA B, 07/09/2010 – 06/07/2016, J.P. [read post]
14 Feb 2023, 7:02 am
Who Owns Morgan Stanley? [read post]
6 Feb 2023, 9:05 pm
Large financial firms such as Merrill Lynch, Morgan Stanley, and UBS have started sustainable-investing platforms for their advisers, and they and others are increasingly relying on commercially available ESG data and ratings to gauge companies’ ESG performance. [read post]
2 Feb 2023, 10:55 am
01:12 – Jake Zamansky, Investment Fraud Lawyer Okay, if you’ve lost money from a Wall Street brokerage firm, let’s say UBS, Merrill Lynch, or Morgan Stanley, you have to go to what’s called FINRA arbitration. [read post]
2 Feb 2023, 2:00 am
Financial Stress Plagues Employees According to a recent Morgan Stanley study on workplace financial benefits, nearly three out of four workers report that financial stress and money-related stress negatively affect their work and personal lives, and they expect their workplaces to address it. [read post]
1 Feb 2023, 9:01 pm
Thank you Thomas [Kim] for that lovely introduction and I’m very pleased to be here at the Securities Regulation Institute giving the Alan B. [read post]
