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Pension Fund Fraud Losses May Require The Help of A Trusted Broker-Dealer Negligence Law Firm JPMorgan, Goldman Sachs, UBS and Morgan Stanley Settle Stock-Lending Lawsuit For $499M For over 30 years, Shepherd Smith Edwards and Kantas (investorlawyers.com) have been representing pension funds and other institutional investors in pursuing damages caused by broker fraud or negligence. [read post]
1 Sep 2023, 6:07 am by Silver Law Group
He was previously employed by Morgan Stanley (CRD# 149777), Citigroup Global Markets Inc. [read post]
31 Aug 2023, 6:01 pm by Tom Smith
They include a lawsuit filed Tuesday against Morgan Stanley & Co. [read post]
21 Aug 2023, 9:42 am by The White Law Group
These resolutions include settlements with the following banks, mortgage originators, and rating agencies:  Ally Financial; Aurora Loan Services; Bank of America; Barclays; Citigroup; Credit Suisse; Deutsche Bank; General Electric; Goldman Sachs; HSBC; JPMorgan; Moody’s; Morgan Stanley; Nomura; Royal Bank of Scotland; S&P; Société Générale; Wells Fargo. [read post]
11 Aug 2023, 4:07 pm
Such proof included the evidence that: (1) Scott voluntarily and substantially slashed his salary to $100,000 even though his earning capacity was much higher and SCA has sufficient non-operating reserves to at least cover the $90,444 he owed for child support; (2) in lieu of Scott’s taking a larger salary to meet his personal and family expenses in 2020, Scott and his current spouse evidently covered such expenses in part by taking distributions totaling at least $977,000 from their… [read post]
7 Aug 2023, 11:16 am by The White Law Group
The Growing Concerns of AI Recently, on August 3rd, 2023, The Massachusetts Secretary of the Commonwealth sent several detailed letters to firms including JPMorgan and Morgan Stanley to learn how they are using AI with investors. [read post]
4 Aug 2023, 8:13 am by Silver Law Group
  SW Financial   Jin Zhu   Morgan Stanley   Key Investment Services LLC For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
4 Aug 2023, 7:34 am by Silver Law Group
According to FINRA Disciplinary actions for July 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Michael Borning   Pruco Securities, LLC   Wells Fargo Clearing Services, LLC   Conway Donaldson   Morgan Stanley Smith Barney   Merrill Lynch, Pierce, Fenner & Smith Incorporated   Bridget Fernandez   UBS… [read post]
4 Aug 2023, 7:16 am by Silver Law Group
According to FINRA Disciplinary actions for July 2023, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Michael Cutrone   Neuberger Berman BD LLC   Ronald Diaz   Morgan Stanley   J.P. [read post]
4 Aug 2023, 4:00 am by Jim Sedor
Trump Is Charged Under Civil Rights Law Used to Prosecute KKK Violence MSN – Isaac Stanley-Becker and Spencer Hsu (Washington Post) | Published: 8/1/2023 When Donald Trump was indicted and accused of trying to subvert the results of the 2020 presidential election, he found himself in the unenviable company of defendants charged under a criminal statute dating to the Reconstruction era. [read post]
3 Aug 2023, 4:00 am by Jim Sedor
” by Zachary Roth and Morgan Trau for Missouri Independent Ethics California: “By Several Measures, the FPPC Is Outnumbered” by Brian Joseph for Capitol Weekly National: “Trump Is Charged Under Civil Rights Law Used to Prosecute KKK Violence” by Isaac Stanley-Becker and Spencer Hsu (Washington Post) for MSN Texas: “Texas Environmental Regulators Are Using an Unwritten Rule to Squash Pollution… [read post]
24 Jul 2023, 6:19 pm by Sabrina I. Pacifici
Underwriting far outpaced lending for Morgan Stanley and Goldman Sachs; lending and underwriting were closer to equal for Bank of America, Citi, and JPMorgan Chase; and lending far outpaced underwriting for Wells Fargo. [read post]
19 Jul 2023, 6:04 am by Doug Cornelius
Sources: SEC Charges Stockbroker and Friend with Insider Trading SEC Complaint DOJ press Release against Jordan Meadow A Chinese fintech company executive, inside information about Morgan Stanley deals and six-figure illicit profits [read post]
29 Jun 2023, 7:04 am by Jon Shazar - Dealbreaker
.' The post How To (Allegedly) Insider-Trade On Morgan Stanley’s Intel Without Being One Of The Cool Kids appeared first on Above the Law. [read post]
26 Jun 2023, 4:15 am by David Lynn
A panel discussion followed which included four audit committee chairs, including Robert Herz, chair of the Morgan Stanley Audit Committee and formerly chair of the FASB and a member of the IASB and the Value Reporting Foundation. [read post]
22 Jun 2023, 11:10 am by luiza
In announcing the Whistleblower Alert, the CFTC pointed to a recent Morgan Stanley research paper to reinforce why regulating the carbon markets was such a key priority. [read post]
17 Jun 2023, 12:31 am by Stoltmann Law
The post Finra spanks Morgan Stanley over sales of high-risk stocks appeared first on Stoltmann Law. [read post]
16 Jun 2023, 9:54 am by Silver Law Group
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS   Michael Cutrone   Neuberger Berman BD LLC   Ronald Diaz   Morgan Stanley   J.P. [read post]