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8 May 2012, 6:40 pm
Michael Grimes of Morgan Stanley, has helped lead 28 technology initial public offerings over the last year, including some of the hottest new Internet companies. [read post]
8 May 2012, 11:06 am
Sibal also referred to the decision of this Court in Morgan Stanley Mutual Fund Vs. [read post]
8 May 2012, 6:30 am
As Dealbook observes, all told, Morgan Stanley would have to come up with $7.2 billion in collateral if Moody's downgrades its credit rating three notches. [read post]
8 May 2012, 1:07 am
” Judge Scheindlin also allowed the negligent misrepresentation claims to go forward as to IKB Deutsche Industriebank and Morgan Stanley. [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]
7 May 2012, 7:09 am
., Morgan Stanley, UBS Financial Services Inc. and Wells Fargo recently agreed to pay $9.1 million to settle allegations that they sold leveraged and inverse exchange-traded funds to clients who had no business investing in the complex instruments. [read post]
7 May 2012, 5:00 am
(Disclosure: my company is on the list.) 1 The Blackstone Group Registered 2 Morgan Stanley Real Estate Investing Registered 3 Goldman Sachs Real Estate Principal Investment Area Registered 4 Tishman Speyer Registered 5 Colony Capital Registered 6 The Carlyle Group Registered 7 Lone Star Funds (Hudson Advisors) Registered 8 Beacon Capital Partners Registered 9 Westbrook Partners Registered 10 LaSalle Investment Management Registered 11 MGPA Registered 12… [read post]
4 May 2012, 5:38 pm
Morgan Stanley & Co. [read post]
4 May 2012, 7:02 am
But while riches await the company's biggest holders, the deal won't prove nearly as lucrative for banks.Facebook executives including finance chief David Ebersman began a tour of Wall Street banks Friday morning, starting with a visit to Morgan Stanley's midtown headquarters in Manhattan at 8 a.m. [read post]
4 May 2012, 6:44 am
Earlier this week, leveraged and inverse ETFs took center stage when the Financial Industry Regulatory Authority (FINRA) levied $9.1 million in penalties on four major banks – Citigroup Global Markets, Morgan Stanley & Co., UBS Financial Services and Wells Fargo Advisors – for their role in selling the risky investments to retail clients who, because of their conservative risk profiles, should never have purchased them. [read post]
3 May 2012, 11:58 am
The Financial Industry Regulatory Authority (FINRA) announced that it ordered Citigroup Global Markets, Morgan Stanley, UBS Financial Services, and Wells Fargo Advisors to pay more than $9.1 million for failure to supervise and failure to have a reasonable basis for recommending selling leveraged and inverse exchange traded funds. [read post]
3 May 2012, 7:30 am
Law360 is reporting that two former Alliance-Bernstein executives have been held in contempt for using confidential information to lure their former clients to their new employer, Morgan Stanley. [read post]
3 May 2012, 5:33 am
Several of the nation’s leading banks – including Citigroup, Morgan Stanley, UBS and Wells Fargo – were recently sanctioned by the Financial Industry Regulatory Authority (FINRA) for more than $9.1 million over their failure to supervise retail sales of leveraged and inverse exchange-traded funds (ETFs). [read post]
2 May 2012, 6:29 am
FINRA announced that it has fined Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
2 May 2012, 6:14 am
("Citigroup"), Morgan Stanley, UBS Financial Services, Inc. [read post]
2 May 2012, 4:25 am
... [read post]
1 May 2012, 5:41 pm
Settlement Planning Practitioners and Subject Matter Experts and Topics: 2011 SSP President Jack Meligan - SSP Accomplishments 2012 SSP President Charles Schell - SSP Goals Joseph DiGangi - Reinventing the Settlement Industry Douglas Shaw - Medicare Liens Robert Wood - Tax Update Jeremy Babener - Settlement Agreements and IRS Challenges Karen Meyers - Suitability Standards Patrick Hindert - Settlement Planning Business Models David Higgins - Litigation Rollover Accounts Jason Lazurus - Liability… [read post]
1 May 2012, 2:22 pm
FINRA announced that it sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision... [read post]
1 May 2012, 2:16 pm
The books and records provision is enforced regularly, most recently in the conspiracy prosecution of a former managing director of Morgan Stanley for hiding deals with a Chinese official. [read post]
1 May 2012, 2:16 pm
The books and records provision is enforced regularly, most recently in the conspiracy prosecution of a former managing director of Morgan Stanley for hiding deals with a Chinese official. [read post]
