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15 Mar 2019, 10:03 am
George Yin (Virginia) presents Who Speaks for Tax Equity and Tax Fairness: Stanley Surrey and the Tax Legislative Process at Boston College today as part of its Tax Policy Workshop Series hosted by Jim Repetti, Diane Ring, and Shu-Yi Oei: This article examines and assesses Stanley Surrey’s view of the... [read post]
13 Oct 2020, 1:16 pm
So Jim Gorman wants to turn Morgan Stanley into Schwab. [read post]
18 Aug 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC charged three Morgan Stanley entities with misleading investors in a pair of residential mortgage-backed securities (RMBS) securitizations that the firms underwrote, sponsored, and issued. [read post]
1 Jul 2015, 10:13 am
From the Desk of Jim Eccleston at Eccleston Law LLC:In its latest round of restructuring, Morgan Stanley has altered the number of management roles at their branch, complex and regional levels. [read post]
14 Mar 2011, 3:34 pm
If you are a former Morgan Stanley adviser being pursued on a promissory note claim, or have more information regarding Morgan Stanley’s collection efforts, please contact Jim Eccleston at Eccleston Law Offices at 312-332-0000. [read post]
6 Oct 2010, 9:26 am
Jim Stanley is a former Deputy Assistant Secretary of Labor for OSHA. [read post]
12 Sep 2016, 6:39 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Last month, a lawsuit was filed against Morgan Stanley in Manhattan federal court. [read post]
22 Feb 2017, 6:13 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing in order to settle charges by the SEC.According to the complaint, the SEC alleged that Morgan Stanley did not adequately implement its policies and procedures and did not ensure that its clients understood the risks related to single-inverse ETF investments that the firm recommended to advisory clients. [read post]
19 Nov 2015, 6:34 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Travis Shannon, a former financial advisor with Morgan Stanley Smith Barney from September 2008 to July 2013, was fired by Morgan Stanley for undisclosed outside business activities. [read post]
18 Mar 2015, 2:21 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:A former advisor and his sales assistant have been sued by Morgan Stanley for allegedly altering client records before they transferred customer accounts to Ameriprise Financial.John McCallion and Tricia Macaluso altered telephone numbers in the company’s computer system in order to hinder his clientele before leaving Ameriprise. [read post]
2 Feb 2017, 6:27 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley has agreed to pay $7.5 million to settle SEC charges that it used trades involving customer cash to lower the firm’s borrowing cost. [read post]
4 Jan 2011, 8:07 am
Jim Rosenthal is promoted to chief operating officer, and two other executives are given additional responsibilities. [read post]
25 Aug 2016, 5:45 am
From the Desk of Jim Eccleston at Eccleston Law LLC:An independent adviser named Dale Cerbert of The Villages, Florida was awarded $2.5 million by FINRA relating to a defamation claim he made against Morgan Stanley after his dismissal from the firm.Mr. [read post]
29 Sep 2015, 2:17 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley is dusting off its voluntary dispute resolution forum, known as CARE (Convenient Access to Resolutions for Employees) for all its U.S. employees, including financial advisors.Advisors can, and should, opt out of the program by completing some paperwork by October 2nd. [read post]
7 Jul 2010, 8:07 am
Read Stanley’s entire article Jim Stanley will be leading an audio conference titled “OSHA Contractor Crackdown: How Employers Can Avoid Violations and Mega-Fines” on Tuesday, August 10. [read post]
15 Sep 2018, 1:19 am
McReynolds Brothers (Jim & Jesse) Stanley Brothers Mandrell Sisters Osborne Brothers The Collins Kids Quebe Sisters Louvin Brothers Tompall and the Glaser Brothers Miller Sisters (audio only) Monroe Brothers (audio only) [read post]
12 Nov 2007, 12:15 pm
Stanley O'Neal and Charles O. [read post]
5 Aug 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has fined Morgan Stanley $1 million for failing to supervise a commission-sharing program for retired brokers. [read post]
26 Oct 2016, 6:52 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has fined and suspended a former Client Service Administrator (CSA) at Morgan Stanley for fraudulently transferring money from a client’s account to third party bank accounts and for falsifying records.Pursuant to the settlement, the CSA agreed to be fined $5,000 and suspended from the securities industry for 60 days. [read post]
13 Jan 2017, 9:24 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has censured Morgan Stanley and fined it $1.5 million for allegedly failing to provide millions of customers access to online information on purchases of mutual funds and other products. [read post]
