Search for: "Morgan Stanley, Inc."
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20 Aug 2014, 12:00 pm
Citigroup Inc’s Bnamex unit alleged that a unit of Morgan Stanley permitted funds from a family’s trust account to be used to repay third-party loans without its authorization. [read post]
31 Jul 2018, 1:18 pm
He has been with Morgan Stanley since 2009. [read post]
11 Jan 2019, 8:41 am
Vicente Davila (CRD #4419824) was employed by Morgan Stanley from April 2016 through February 2018. [read post]
10 Nov 2011, 12:52 pm
FINRA announced today that it fined Morgan Stanley & Co. [read post]
10 Nov 2011, 12:52 pm
FINRA announced today that it fined Morgan Stanley & Co. [read post]
8 Jun 2023, 7:31 pm
The Financial Industry Regulatory Authority Inc. has censured Morgan Stanley and fined the firm $325,000 for publishing research reports that included inaccurate historical stock ratings. [read post]
24 Jun 2015, 2:40 pm
(“FINRA”) announced that it had reached a near $1 million settlement with Morgan Stanley Wealth Management (“Morgan Stanley”) and Scottrade Inc. [read post]
11 Sep 2013, 10:51 am
Morgan Stanley, which is set to receive another $57 billion of deposits from Citigroup Inc. as part of its Smith Barney purchase, plans to accelerate lending to put those funds to use. [read post]
14 Jul 2014, 11:22 am
Rosenfield serves as a certified financial planner and adviser with Morgan Stanley Wealth Management in Waldorf, previously known as Legg Mason Wood Walker Inc. [read post]
17 Jun 2023, 12:31 am
The Financial Industry Regulatory Authority Inc. said Tuesday that it had penalized Morgan Stanley $698,000 for several years of failing to supervise brokers’ sales of high-risk securities, including a Chinese telecom stock. [read post]
15 Sep 2011, 12:10 pm
Morgan Stanley Smith Barney, or more accurately, its predecessor Morgan Stanley andamp; Co., the Morgan Stanley part of the June 2009 joint venture with Morgan Stanley andamp; Co. and the Smith Barney division of Citigroup Global Markets, Inc., is no stranger to e-mail problems. [read post]
21 Mar 2018, 8:15 am
Shortly after Morgan Stanley found this, Mathieson was suspended and then terminated. [read post]
14 Feb 2023, 7:02 am
LLP (2.72 percent), and JPMorgan Investment Management, Inc. (2.11 percent). [read post]
11 Aug 2010, 7:24 am
After being caught, Morgan Stanley quickly and quietly settled a proposed FINRA enforcement action by entering into an Acceptance Waiver andamp; Consent, paying a small fine ($800,000), and without admitting or denying the allegations, through a deal with FINRA (formerly the National Association of Securities Dealers, Inc.), a andquot;self-regulatory organizationandquot; which Morgan Stanley is a member, allows Morgan Stanley to keep… [read post]
23 Mar 2007, 2:19 am
Morgan Stanley & Co., Inc. v. [read post]
28 Jun 2006, 9:53 am
[JURIST] Financial firm Morgan Stanley & Co. [read post]
21 Mar 2012, 9:56 am
An ex-hedge-fund manager must pay $10.2 million to Morgan Stanley Inc. after he admitted last year to insider trading at a hedge fund formerly owned by the Wall Street firm, a judge has ruled. [read post]
22 Aug 2014, 10:06 am
On August 15, 2014, a three (3) member Financial Industry Regulatory Authority (“FINRA”) arbitration panel found Morgan Stanley & Co., Inc. [read post]
27 Feb 2018, 1:37 pm
” Velez worked for Morgan Stanley from 2010 through 2017, for Merrill Lynch from 2006 through 2009, and UBS Financial Services, Inc. [read post]
11 Jul 2017, 10:50 am
The post Lead Underwriter Morgan Stanley Downgrades Snap Inc. appeared first on White Securities Law. [read post]
