Search for: "James Morgan"
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20 Jul 2009, 8:41 am
The bond funds at issue were run by James Kelsoe, a portfolio manager at Region Morgan Keegan's asset management arm. [read post]
6 Oct 2017, 1:03 pm
From 1993 until February 2013, Lyons was associated with Morgan Keegan & Company, Inc. [read post]
7 Sep 2018, 7:40 am
Silver Law Group is investigating claims against former Boston, Massachusetts-based Morgan Stanley brokers James Polese (CRD# 2636427) and Cornelius Peterson (CRD# 5769919) after FINRA barred both of them for allegedly stealing $450,000 from an elderly client. [read post]
9 Apr 2010, 5:51 am
Several persons of interest have been identified by news reports, including The Commercial Appeal, including: James C. [read post]
21 Mar 2022, 3:21 pm
Shafer had left Morgan Stanley in September 2018 with two other advisors for Raymond James & Associates, the firm’s traditional employee broker-dealer, as reported. [read post]
7 Jun 2014, 9:38 pm
Tragically, another comedian, James McNair, knows as Jimmy Mack, who was with Morgan in the limousine, was killed by the Wal-Mart truck. [read post]
31 Jan 2018, 2:23 pm
James Polese and Cornelius Peterson Allegedly stole $500 K from 2 clients Two former Morgan Stanley brokers in Boston have purportedly agreed to plead guilty on fraud charges, according to the U.S. [read post]
12 Oct 2020, 9:36 am
"He was also among the greatest second basemen, and some, like Bill James, the groundbreaking interpreter of statistics, say he was the greatest of all. [read post]
8 Apr 2010, 8:49 pm
The Securities and Exchange Commission has filed claims against Morgan Keegan & Co, Morgan Asset Management and employees James C. [read post]
7 Jun 2014, 8:52 am
One passenger in the limo was identified in the news as James McNair, who was killed in the crash. [read post]
22 Jul 2014, 12:52 pm
Comedian Tracy Morgan has filed a personal injury lawsuit against WalMart for injuries he sustained last month when the chauffeur-driven limo-van in which he was riding along with friend James McNair was hit by a WalMart big rig known to be driven way too fast by a truck driver who was at the least drowsy and at the most, asleep at the wheel. [read post]
15 Jul 2010, 1:03 pm
The complaint - which was filed by the Securities and Exchange Commission (SEC), FINRA and various state securities regulators - also charged Morgan Keegan portfolio manager James Kelsoe of improperly directing his accounting department to make repeated, arbitrary “price adjustments” that boosted the fair values of securities. [read post]
22 Jun 2011, 11:53 am
Former portfolio manager James Kelsoe Jr. will pay $500,000 in penalties and be barred from the securities industry, and comptroller Joseph Thompson Weller will pay $50,000. [read post]
7 Mar 2022, 8:22 am
James Dunn (James William Dunn, Jr. [read post]
22 Jan 2021, 11:28 am
Did You Invest With James Couture? [read post]
3 May 2018, 1:49 pm
He was previously employed by Morgan Keegan & Company, Inc. [read post]
8 Apr 2010, 12:46 pm
The Securities and Exchange Commission has charged Morgan Keegan and its touted managing director, James Kelsoe, with securities fraud for deliberately inflating the value of subprime securities in order to hide losses in Morgan Keegan’s proprietary toxic bond mutual funds. [read post]
22 Nov 2023, 12:46 pm
Since he filed the initial complaint, Shafer has been joined in amended versions by other ex-Morgan Stanley brokers who moved to Raymond James as well as Ameriprise Financial and Stifel, Nicolaus & Co. [read post]
20 Jan 2011, 8:53 pm
Morgan on February 7. [read post]
29 Jun 2011, 8:21 am
In her recent New York Times article entitled “Findings That May Get Lost,” Gretchen Morgenson writes about a “disturbing paradox” presented by the following scenario: Investors who lost over $1 billion in toxic RMK bond funds may not benefit from the recent settlement with regulators that Morgan Keegan paid $200 million to obtain, despite findings that Morgan Keegan and James Kelsoe misled and defrauded investors in those funds, because… [read post]
