Search for: "Morgan Stanley" Results 81 - 100 of 3,183
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9 Nov 2020, 2:43 am by Deb Givens
  The defendants included affiliates of Bank of America Corp, Barclays Plc, Citigroup Inc, Goldman Sachs Group Inc, JPMorgan Chase & Co, Morgan Stanley, Royal Bank of Canada and Wells Fargo & Co. [read post]
3 Nov 2020, 11:44 am by Rex Securities Law
FINRA requires brokers … Continue reading Stuart Henley-Former Morgan Stanley Broker- Discloses Regulatory Event,Customer Dispute Settled for $800K and a Termination-Tampa, FL → The post Stuart Henley-Former Morgan Stanley Broker- Discloses Regulatory Event,Customer Dispute Settled for $800K and a Termination-Tampa, FL appeared first on Rex Securities Law BLOG. [read post]
2 Nov 2020, 1:15 am
The hire is a continuation of the firm's growth in the London market following a string of partner additions this year. [read post]
30 Oct 2020, 10:28 am by luiza
This April, Guaranteed Rate agreed to pay $15 million to resolve similar allegations; in April 2019, Morgan Stanley agreed to pay $150 million to settle allegations of impropriety in selling RMBS to California’s public unions; that same month, GE paid $1.5 billion to resolve their own RMBS-related allegations. [read post]
23 Oct 2020, 8:03 am by Silver Law Group
  Deependra Logani   Morgan Stanley Smith Barney LLC   Santander Securities LLC   Anthony Mastroianni Jr. [read post]
23 Oct 2020, 3:31 am
PeirceSEC Obtains Final Judgment Against Participant in Market Manipulation Scheme (SEC Release)FINRA Fines and Suspends Rep In Response to Son's PST and Personal EmailsIn the Matter of Norman Stanley Batansky, Respondent (FINRA AWC)FINRA Bars Rep In Response to Complaints Via FINRA's Senior HelplineIn the Matter of Cynthia Diane Cowden, Respondent (FINRA AWC)JP Morgan Securities Whiffs In FIN... [read post]
16 Oct 2020, 2:25 pm by fvanloon
Judicial Watch Asks for Full Court Review on Clinton Testimony Voter Registration in 353 Counties in 29 States Exceeds 100%Judicial Watch is Joining The ObamaGate Movie as Executive ProducersBallot Update: We Clean Up Dirty Voter RollsFederal Agency Under Fire for Promoting ‘White Lives Matter Ideology’You’ll Want to Get the New Judicial Watch Book: A Republic Under Assault Judicial Watch Asks for Full Court Review on Clinton Testimony We still intend to interview Hillary Clinton.… [read post]
16 Oct 2020, 8:27 am by fvanloon
Johns County (112%); Nassau County (109%); Walton County (108%); Santa Rosa County (108%); Flagler County (104%); Clay County (103%); Indian River County (101%); Osceola County (100%) *Georgia: Bryan County (118%); Forsyth County (114%); Dawson County (113%); Oconee County (111%); Fayette County (111%); Fulton County (109%); Cherokee County (109%); Jackson County (107%); Henry County (106%); Lee County (106%); Morgan County (105%); Clayton County (105%); DeKalb County (105%); Gwinnett… [read post]
9 Oct 2020, 5:00 am
The Wall Street stalwart is betting that investors want it to be more boring. [read post]
30 Sep 2020, 5:02 pm by dfaulk-white
Read More The post CFTC Orders Morgan Stanley Capital Services LLC to Pay $5 Million for Swap Data Reporting Failures appeared first on CFTC Law. [read post]
30 Sep 2020, 6:09 am by Astarita
The Securities and Exchange Commission today announced settled charges against Morgan Stanley & Co. [read post]
28 Sep 2020, 1:21 pm by William S. Wilson
A 2019 survey conducted by Morgan Stanley revealed that cybersecurity risk is a major concern for high net worth individuals. [read post]
28 Sep 2020, 7:32 am by Brendan Gooley
Bettye Turner invested approximately $2 million with David Carrick, an investment broker employed by Morgan Stanley Smith Barney. [read post]