Search for: "Mark Stanley"
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19 Aug 2015, 9:56 am
From June 2009, until April 2011, Kaplan was associated with Morgan Stanley Smith Barney (Morgan Stanley). [read post]
22 Feb 2022, 4:11 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6309/securities-industry-commentator/Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done (Maybe) (BrokeAndBroker.com Blog)SEC Proposes Short Sale Disclosure Rule, Order Marking Requirement, and CAT Amendments / Agency Also Reopens Comment Period for Proposed Rule 10c-1 (SEC Release)UPDATE: The Google, Candido… [read post]
28 Sep 2010, 8:00 am
Dear Friend, Yesterday marked another big win in our campaign to keep corporate dollars from overrunning elections. [read post]
28 Apr 2016, 7:00 am
---Mark Astarita is a New York securities lawyer who represents investors and financial professionals across the country in securities arbitrations and investigations, and has been doing so for over 25 years. [read post]
4 Nov 2019, 2:00 am
Bennett Capers, Stanley A. [read post]
19 Nov 2015, 5:00 am
Merrill Lynch lost a team managing more than $2.9 billion to Raymond James & Associates,According to press reports, the move set a new recruiting record for Raymond James, surpassing a $2.4 billion team that left Morgan Stanley to join Raymond James in Florida.Advisors Chris Mahoney, his brother Kevin Mahoney, Mark C. [read post]
15 Dec 2017, 3:00 am
Mark and I have no financial relationship.) [read post]
17 Dec 2015, 5:51 am
The securities lawyers of Gana LLP are investigating customer complaints against broker Clarence Mark Tingle (Tingle). [read post]
22 May 2019, 4:45 pm
Our thoughts and prayers are with both Gilbert and Stanley Dickson at this time. [read post]
5 Aug 2020, 4:26 pm
Morgan Stanley: “Over the past quarter century there has been a marked shift in U.S. equities from public markets to private markets controlled by buyout and venture capital firms. [read post]
15 Mar 2010, 1:52 pm
The first is Trial Tactics: Avoiding the Obvious (A Case Study), which will include Ted Morris and Steve Gemmell from The Stanley Works, and Joe Pappalardo from the Gallagher Sharp law firm. [read post]
25 Nov 2015, 5:00 am
Today's defection goes to Morgan Stanley, as a team managing 5 billion dollars at Credit Suisse has joined Morgan Stanley in New York.Related Posts:Transition Agreements are Negotiable - Even for Credit Suisse BrokersCredit Suisse Brokers Losing Deferred Compensation---Mark Astarita is a nationally known securities lawyer who has represented brokers and advisers in their transitions, loans and compensation issues for decades. [read post]
6 Nov 2009, 3:43 pm
Stanley Roberts of Indianapolis, died in the June accident. [read post]
30 Jun 2016, 9:29 am
The Securities and Exchange Commission’s (“SEC”) recent $1 million settlement with Morgan Stanley Smith Barney LLC (“MSSB”) marked a turning point in the agency’s focus on cybersecurity issues, an area that the agency has proclaimed a top enforcement priority in recent years. [read post]
12 Mar 2018, 11:44 am
Prior to that, he worked at Morgan Stanley in New York City, until he was terminated in 2011 for “Concerns regarding activity in client accounts. [read post]
30 Jan 2019, 5:03 pm
The CD Cal nominees are LASC Judge Stanley Blumenfeld, Milbank partner Mark Scarsi, and H&L appellate specialist Jeremy Rosen. [read post]
13 May 2014, 4:22 am
”—Mark 1:35 “But he would withdraw to desolate places and pray. [read post]
13 May 2014, 4:32 am
” — Mark 1:35“But he would withdraw to desolate places and pray. [read post]
22 Feb 2022, 4:11 am
Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done (Maybe) (BrokeAndBroker.com Blog)SEC Proposes Short Sale Disclosure Rule, Order Marking Requirement, and CAT Amendments / Agency Also Reopens Comment Period for Proposed Rule 10c-1 (SEC Release)UPDATE: The Google, Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns (BrokeAndBroker.com Blog)Jury Convicts Arizona and California… [read post]
23 Jan 2019, 5:36 am
Despite the Stanley Cup being used as a drinking device (during celebrations), the NHL did manage to defend their claims and defeated the motion to dismiss.Patently-O reports on the USPTO’s refusal to grant the application to register the trade mark “FUCT” by Erik Brunetti. [read post]
