Search for: "Morgan Stanley" Results 121 - 140 of 3,192
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3 Sep 2020, 8:21 am by Silver Law Group
  Cindy Fuzie   Morgan Stanley   MML Investors Services, LLC   Michael Garris   Wells Fargo Clearing Services, LLC   Morgan Stanley Smith Barney   Rajesh Gupta   Morgan Stanley Smith Barney   JP Morgan Securities LLC   James McEnerney, Jr. [read post]
3 Sep 2020, 4:52 am by Alexander S. Conn
Crown Acquisitions and Prime Property Fund (Morgan Stanley): The Gap has filed a countersuit in this case arguing that the “purpose of the lease has been completely frustrated” and, as a result, the lease was effectively terminated in March due to the closure caused by COVID-19. [read post]
31 Aug 2020, 3:03 am by Liz Dunshee
” The disclosure is clear that the banks are conducting investors communications & presentations only in connection with “investor education” and not to coordinate price discovery or sales…but it also says that the designated market maker will consult with Morgan Stanley on the opening public price, who will provide input based on pre-listing selling & buying interest that it becomes aware of. [read post]
Continue Reading › The post More Than 20 Investor Fraud Complaints Have Involved Ex-Morgan Stanley Broker Michael Paesano appeared first on Investor Lawyers Blog. [read post]
Continue Reading › The post More Than 20 Investor Fraud Complaints Have Involved Ex-Morgan Stanley Broker Michael Paesano appeared first on Investor Lawyers Blog. [read post]
25 Aug 2020, 2:14 pm by Dan Miller
” Miller Stern Lawyers, LLC – 410-Law-Firm is currently investigating claims and allegations of brokers making discretionary non-authorized trades in clients accounts at brokerages such as Stifel, Morgan Stanley, Wells Fargo and others. [read post]
25 Aug 2020, 12:29 pm by Shepherd Smith Edwards & Kantas, LLP
Morgan Stanley Settlement Includes FINRA Fine and Investor Restitution  According to the Financial Industry Regulatory Authority (FINRA), Morgan Stanley Wealth Management has consented to pay a $175K fine and more than $774K in restitution for allegedly failing to supervise its former broker Kevin Gunnip. [read post]
25 Aug 2020, 12:29 pm by Shepherd Smith Edwards & Kantas, LLP
Morgan Stanley Settlement Includes FINRA Fine and Investor Restitution  According to the Financial Industry Regulatory Authority (FINRA), Morgan Stanley Wealth Management has consented to pay a $175K fine and more than $774K in restitution for allegedly failing to supervise its former broker Kevin Gunnip. [read post]
12 Aug 2020, 10:51 am by Renae Lloyd
The first alleged unsuitable recommendations and was settled for $37,500 by Morgan Stanley Dean Witter, his former employer, without admitting liability, according to BrokerCheck. [read post]
  While one claim has already been settled by Morgan Stanley, two of the customer disputes, including one seeking $3M in damages, are still pending. [read post]
  While one claim has already been settled by Morgan Stanley, two of the customer disputes, including one seeking $3M in damages, are still pending. [read post]
5 Aug 2020, 4:26 pm by Sabrina I. Pacifici
Morgan Stanley: “Over the past quarter century there has been a marked shift in U.S. equities from public markets to private markets controlled by buyout and venture capital firms. [read post]
4 Aug 2020, 6:53 am by Silver Law Group
Abbonizio (CRD# 2787112) – previously registered with Morgan Stanley, Wells Fargo, Oppenheimer & Co with four (4) customer complaints) and Dean J. [read post]
Klotz’s BrokerCheck Report, including one arbitration entered in favor of a customer and two other claims when he was employed at Morgan Stanley that were settled. [read post]
2 Aug 2020, 10:38 am by Malecki Law Team
Carter was reportedly fired from Morgan Stanley in the summer of 2019 for misappropriation of funds. [read post]