Search for: "R. A. Stanley"
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1 Feb 2012, 5:54 am
The Main Line Times: "A court hearing is scheduled for Thursday, Feb. 2, at 9:30 a.m.... at which the Friends of the Barnes Foundation and other petitioners will present their objections to sanctions imposed by Montgomery County Orphans’ Court Judge Stanley R. [read post]
26 Mar 2021, 11:56 am
Carter was reportedly affiliated with Morgan Stanley from 2009 until 2011 and then had a brief stint at Ameriprise. [read post]
28 Jul 2017, 9:11 pm
Six persons infected with Salmonella Stanley were reported to Public Health during July 17–July 24. [read post]
7 May 2012, 2:07 pm
FINRA recently has announced that it has sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
17 Apr 2018, 5:19 pm
According to FINRA Brokercheck, Polese was registered with Morgan Stanley from May 2010 until he was fired last June. [read post]
3 Mar 2016, 7:24 am
The Morgan Stanley Cushing MLP High Income Index ETN is an exchange-traded note issued by Morgan Stanley. [read post]
26 Jan 2016, 4:14 am
Three public customers sued FINRA member firm Morgan Stanley Smith Barney for $1.28 million in damages. [read post]
7 Aug 2012, 11:25 am
King took her entire life's savings and placed it into a trust account maintained by Morgan Stanley. [read post]
9 Aug 2015, 2:56 pm
The Financial Industry Regulatory Authority (FINRA) issued a press release concerning two settlements fining Morgan Stanley Smith Barney, LLC (Morgan Stanley) $650,000 and Scottrade, Inc. $300,000 for failing to implement reasonable supervisory systems to monitor the transmittal of customer funds to third-party accounts. [read post]
14 Dec 2007, 9:32 am
Morgan Stanley & Co. [read post]
11 Dec 2014, 2:02 pm
Morgan Stanley will pay $4 million to settle charges that it failed to stop a rogue Rochdale Securities LLC trader from fraudulently buying $525 million in Apple stock in 2012.For more information, go to Morgan Stanley Fined $4 Million for Role in Fraudulent Apple Trades - WSJ---The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
28 Sep 2012, 11:48 am
The court’s decision was the most recent development in the ongoing saga surrounding KeySpan and Morgan Stanley’s manipulation of capacity auction for [...] [read post]
12 Jan 2012, 9:13 am
Another class action lawsuit has been filed against KeySpan Corporation (KeySpan) and Morgan Stanley Capital Group Inc. [read post]
21 Mar 2007, 10:56 am
Courtesy of The Wall Street Journal Law Blog is a story about the reversal by an appellate court in Florida of a 2005 jury verdict of over $1 billion in damages against Morgan Stanley in connection with its "supporting role"... [read post]
21 Mar 2007, 10:56 am
Courtesy of The Wall Street Journal Law Blog is a story about the reversal by an appellate court in Florida of a 2005 jury verdict of over $1 billion in damages against Morgan Stanley in connection with its "supporting role"... [read post]
21 Aug 2012, 2:12 pm
In a FINRA arbitration statement of claim filed in April 2011, Morgan Stanley Smith Barney (“MSSB”) sought $68,239.00 in compensatory damages plus interest, costs, and fees from Respondent Richard Swetish, who had been an employee with the firm. [read post]
21 Sep 2016, 7:07 am
From June 2009 until June 2016 Sak was registered with Morgan Stanley out of the firm’s Deerfield, Illinois office location. [read post]
14 Feb 2018, 8:00 am
The Toronto criminal lawyer who represented the family of Colten Boushie says the problem is the current system, not the jury who found Gerald Stanley not guilty in the death of the young indigenous man. [read post]
2 Jun 2014, 7:31 am
On May 28, Stanley Fischer took the oath of office as a member of the Board of Governors. [read post]
16 Sep 2015, 9:20 am
As reported in ‘Troubling’ New Arbitration System Brewing at Morgan Stanley (Wealthmanagement.com by Megan Leonhardt, September 22, 2015), Morgan Stanley is rolling out a so-called internal arbitration forum under the clunky name of "Convenient Access to Resolutions for Employees" or CARE. [read post]
