Search for: "Matter of Stanley"
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11 Jun 2010, 6:51 am
Morgan Stanley and JPMorgan Chase are expected to take the lead underwriting positions in an initial public offering of General Motors, people briefed on the matter told DealBook. [read post]
9 Jan 2015, 10:26 am
Morgan Stanley Breach: Advisor Downloaded Client Data From Across the Co Morgan Stanley Breach: Advisor Downloaded Client Data From Across the Country | Financial Planning--- The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
13 Mar 2008, 8:41 am
Michael Zaoui, a managing director and chair of European mergers and acquisitions at Morgan Stanley, is retiring, people familiar with the matter told DealBook on Thursday. [read post]
14 Aug 2008, 11:46 am
JPMorgan Chase and Morgan Stanley are near an agreement to buy back billions in troubled auction-rate securities to settle with state and federal regulators, people briefed on the matter told DealBook. [read post]
8 Jul 2009, 3:20 am
Deutsche Bank, Germany's biggest bank, hired Bill Grous and a team of advisers for wealthy individuals from Morgan Stanley, a person familiar with the matter told Bloomberg News. [read post]
22 Feb 2018, 11:06 am
She has one regulatory matter against her, and is not currently registered as a broker. [read post]
12 May 2010, 2:47 am
The investigation into post crisis Wall Street has expanded as federal prosecutors have begun examining whether Morgan Stanley misled investors and bet against mortgage-derivative deals that it had helped create, The Wall Street Journal reported, citing people familiar with the matter. [read post]
28 Mar 2018, 9:51 am
Morgan Stanley filed a Form U5 termination notice listing the reason for his termination as “concerns regarding his conduct in a client arbitration matter. [read post]
3 Feb 2009, 3:48 am
Morgan Stanley plans to cut about 3 percent to 4 percent of its work force, or up to 1,880 people, as it battles with spiraling costs and slowing business, Reuters reported, citing a person familiar with the matter. [read post]
21 Nov 2016, 3:28 pm
According to On Wall Street after overhauling its recruiting deals in light of new regulatory guidance on the fiduciary rule, Morgan Stanley is again tweaking its transition package for elite brokers.The wirehouse is sweetening the deal for advisers in the top quintile, offering up to 175% of a broker's 12-month trailing production to move, according to two people familiar with the matter.However, there is no back end - because of the fiduciary rule.Morgan Stanley… [read post]
9 Mar 2015, 7:35 am
We have decades of experience in securities litigation matters, including SEC and FINRA investigations, insider trading cases, securities arbitrations and class actions, nationwide. [read post]
31 Oct 2018, 1:54 pm
Now, the self-regulatory organization is barring Plyer after he failed to appear and give testimony into FINRA’s probe into the matter. [read post]
14 Feb 2023, 7:02 am
As a result, investors need to be very careful about where they choose to invest, and, no matter where they invest, they need to monitor their accounts carefully for signs of fraud. [read post]
3 Nov 2011, 4:55 pm
If courts are to be given a greater voice on rights-related matters, major changes in China’s governance would be required that don’t [...] [read post]
17 Oct 2007, 9:20 am
Morgan Stanley has sold off its 7.2 percent stake in The New York Times Company, people with knowledge of the matter told DealBook Wednesday. [read post]
10 May 2023, 11:19 am
Origination of the Matter This case originated from FINRA’s review of the Form U5 (Uniform Termination Notice for Securities Industry Registration) that was filed by Morgan Stanley after it terminated Mr. [read post]
20 May 2019, 1:29 pm
Silver to discuss your legal matter, call toll-free (800) 975-4345 or e-mail him at SSilver@silverlaw.com. [read post]
8 Jan 2013, 8:02 am
The key issue in the case was Morgan Stanley’s own procedures for handling such matters which Torretta alleged were not followed. [read post]
8 May 2012, 6:00 am
The National Hockey League is presently holding the Stanley Cup Playoffs. [read post]
8 Mar 2016, 1:08 pm
Lax & Neville LLP has nationally represented small broker-dealers, financial services professionals and securities industry companies in regulatory matters and securities-related and commercial litigation. [read post]
