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13 Jan 2021, 9:01 pm by Lesley Wexler and Colleen Murphy
Multiple third parties such as Morgan Stanley, AT&T, and Dow are also exacting judgment by withholding donations to “lawmakers who voted against the counting of Biden’s electoral votes,” and the Lincoln Project “promis[es] to target companies that donate to any lawmakers who voted against the counting of the electoral votes. [read post]
12 Jan 2021, 12:39 pm by Iorio Altamirano
As of December 2020, Morgan Stanley had approximately 720 branches and over 23,500 registered persons. [read post]
12 Jan 2021, 11:00 am by Dan Miller
Miller Stern Lawyers – 410-Law-Firm is currently investigating for clients of former Morgan Stanley broker Barry F. [read post]
11 Jan 2021, 1:19 pm by Lax & Neville LLP
Upon information and belief, financial advisors at Morgan Stanley and other brokerage firms solicited and concentrated customer accounts in Amarin, even while the company was defending its patent on Vascepa in litigation. [read post]
31 Dec 2020, 12:55 pm by Renae Lloyd
      The post Morgan Stanley to pay Customers for 529 Savings Plan Overcharges appeared first on The White Law Group. [read post]
30 Dec 2020, 6:35 am by Saba Bireda
As of December 17, 2020, 50 of the 100 companies, including Coca-Cola, Starbucks, Target, and Morgan Stanley, agreed to make their EEO-1 data publicly available. [read post]
29 Dec 2020, 12:04 pm by Silver Law Group
(CRD#:6363), Morgan Stanley Smith Barney (CRD#:149777) and Citigroup Global Markets Inc. [read post]
28 Dec 2020, 1:55 pm by Silver Law Group
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Frisco, TX, Morgan Stanley Smith Barney (CRD#:149777) and Morgan Stanley & Co. [read post]
28 Dec 2020, 6:49 am by Silver Law Group
” Without admitting to wrongdoing, Morgan Stanley and Citigroup settled with the SEC for $5.9 million. [read post]
17 Dec 2020, 11:35 am by Astarita
A former South Florida Morgan Stanley Smith Barney broker’s decision to blow the whistle on alleged misconduct has resulted in an almost $1.8 million award from the Securities and Exchange Commission, which said the complaint helped uncover crucial evidence and claw back millions for investors.Represented by James Sallah of Sallah Astarita & Cox, LLC and Scott Silver of Silver Law Group the complaint revolved around a foreign currency trading program called “CitiFX… [read post]
16 Dec 2020, 10:29 am by Benjamin Glassman
Morgan Stanley Smith Barney LLC established the law of the circuit on a nifty issue of subject matter jurisdiction in the context of arbitration. [read post]
15 Dec 2020, 9:45 am by Silver Law Group
Our client was a financial advisor at broker-dealer Morgan Stanley Smith Barney, LLC (Morgan Stanley). [read post]
14 Dec 2020, 8:44 am by Renae Lloyd
Prior to that he was affiliated with Morgan Stanley in New York, NY 2009  until 2016 when he was reportedly discharged for “Allegations concerning cost-related issues associated with registered representative’s trading of U.S. treasuries. [read post]
11 Dec 2020, 7:08 am
Federal Court Says Former Morgan Stanley Advisor's Discrimination Claims Are Time Barred( Blog) Morgan Stanley Wealth Advisor Associate alleged that she was the victim of discrimination and retaliation based, in part, on sex, race, and ethnicity in violation of the ADA, Title VII, and FMLA. [read post]
11 Dec 2020, 7:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution (SEC Release)Former Nomura RMBS Trader Who Defrauded Customers is Sentenced (DOJ Release)Federal Court Says Former Morgan Stanley Advisor's Discrimination Claims Are Time… [read post]
11 Dec 2020, 7:08 am
After Midnight It All Hangs Out In Morgan Stanley Arbitration( Blog)SEC Charges Corporate Controller and His Brother-In-Law with Insider Trading Ahead of Merger Announcement (SEC Release)FINRA Censures and Fines R.F. [read post]
11 Dec 2020, 7:08 am
A couple of public customers sued Morgan Stanley citing losses in Puerto Rico bond investments. [read post]