Search for: "Dee Stanley"
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28 Jul 2017, 6:48 am
Kim Dee Isaacson Barred for Allegations of Unauthorized Trades According to reports, The Financial Industry Regulatory Authority’s enforcement unit has permanently barred former Morgan Stanley broker Kim Dee Isaacson for overstating a client’s account balance by as much as $3.1 million while reportedly making hundreds of unauthorized trades, according to a settlement order posted Wednesday. [read post]
14 Jun 2017, 12:43 pm
In an unrelated FINRA case, the SRO has filed charges against Kim Dee Isaacson, an ex-Morgan Stanley (MS) broker, for allegedly misleading a client about the size of his account, engaging in unauthorized trading, and attempting to resolve these issues directly with the client instead of along with the firm. [read post]
6 Feb 2024, 8:00 am
Reese Hansen & Stanley D. [read post]
30 Jan 2012, 2:25 am
Ell Dee Clothing Co. v. [read post]
15 Apr 2010, 3:22 am
Ell Dee Clothing Co. v. [read post]
9 Aug 2019, 2:00 am
ABC 15 News reports that Stanley Lee Rogers was arrested at his home in Aynor, South Carolina, by a U.S. [read post]
15 Aug 2019, 9:30 pm
Evelyn Atkinson: I really like to use "A Jury of Her Peers" by Susan Glaspell when I'm teaching about women's exclusion from the legal system (I got the idea from Amy Dru Stanley who uses it in her legal history class). [read post]
8 May 2016, 9:01 pm
Stanley Milgram, suggests the answer is often yes. [read post]
21 Mar 2008, 4:10 pm
Brown is almost as dull as Sir (Lord) Alec Douglas- Home and Stanley Baldwin. [read post]
18 Aug 2009, 6:18 am
I submitted to the SEC yesterday a comment letter on behalf of a bi-partisan group of eighty professors of law, business, economics, or finance in favor of facilitating shareholder director nominations. [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]
