Search for: "Morgan Asset"
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10 Mar 2009, 9:34 am
Smith Barney is losing brokers and advisers by the score and assets by the billions as it prepares for its new role as the junior partner to former rival Morgan Stanley in their impending joint venture. [read post]
23 Oct 2009, 7:30 am
Unlike the old family office, the newly combined unit will exclusively serve clients with a minimum of $20 million in assets. [read post]
18 Oct 2010, 9:00 am
The division of assets is not simple. [read post]
29 Jan 2024, 12:00 pm
The SEC was seeking injunctive relief, an asset freeze, an accounting, disgorgement, and civil penalties. [read post]
10 Aug 2009, 7:13 am
., whose brokerage arm is Morgan Keegan & Company, has revealed in its Aug. 5 10-Q filing with the Securities and Exchange Commission (SEC) that Morgan Keegan, Morgan Asset Management Company and three employees each received a Wells notice in July from the SEC's office in Atlanta, alerting them to prepare for future enforcement actions for possible violations of the federal securities laws. [read post]
5 Feb 2007, 10:31 am
As part of its return to the buyout business, Morgan Stanley plans to raise $6 billion or more for its latest private equity fund, Financial News Online reported, citing undisclosed “sources close to the bank.” In September, the firm announced that it was creating a private equity group within its asset management division, but Morgan [...] [read post]
31 Mar 2016, 5:15 am
Stifel hired a team from Morgan Stanley that oversaw more than $200 million in client assets, according to a person familiar with the move. [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]
26 Mar 2007, 8:00 am
Morgan Chase’s asset-management group named Jonathan Ingram to lead the European higher alpha team. [read post]
17 May 2012, 5:59 pm
BLT Securities Suit Filed Against JP Morgan Chase Over Trading Losses. [read post]
2 Jun 2009, 8:07 am
Following on the heels of JPMorgan Chase and American Express, Morgan Stanley said it will sell $2.2 billion of stock in an offering of approximately 80.2 million shares at $27.44 a share, freeing the brokerage firm to repay the the government's Troubled Asset Relief Program. [read post]
16 Jan 2008, 4:38 am
Morgan Chase is feeling the subprime pinch. [read post]
9 Jan 2009, 2:21 pm
From Eric Dash and Louise Story, colleagues of DealBook Citigroup is in talks to sell an interest in its Smith Barney brokerage and asset management unit to Morgan Stanley, according to two people with knowledge of the discussions. [read post]
27 Jun 2023, 5:35 am
JP Morgan Chase has $3.7 trillion in assets and $303 billion in stockholders’ equity as of March 31, 2023. [read post]
16 Apr 2018, 11:16 am
The case alleged that JP Morgan did not properly disclose that it was steering asset-management customers into investments that would be profitable for the bank. [read post]
26 Jul 2009, 7:42 pm
Morgan Keegan & Co., a unit of Regions Financial, Morgan Asset Management and three employees each received a “Wells” notice from the SEC, the company stated in an SEC filing by Regions on July 9. [read post]
8 Apr 2010, 7:38 am
According to the SEC’s complaint, Morgan Keegan allegedly failed to employ reasonable procedures to “internally price the portfolio securities in five funds managed by Morgan Asset and, consequently, did not calculate accurate net asset values (NAVs) for the funds. [read post]
28 Jun 2011, 10:08 am
Former Morgan County Council Administrator Pleads Guilty Yesterday former Morgan County council administrator pleaded guilty to six felony counts that included the embezzling of nearly $1 million from the county and a couple of banks. [read post]
22 Jun 2011, 11:53 am
The SEC found Morgan Keegan “failed to employ reasonable pricing procedures and consequently did not calculate accurate ‘net asset values’ for the funds. [read post]
23 Oct 2015, 6:00 am
Two Morgan Stanley advisors with $152 million in combined client assets have gone independent with the Wells Fargo Advisors Financial Network. [read post]
