Search for: "Morgan Stanley"
Results 161 - 180
of 3,745
Sort by Relevance
|
Sort by Date
23 Feb 2023, 8:35 am
Barclays, Citi, Credit Suisse, Deutsche Bank, Goldman Sachs, Morgan Stanley and UBS all paid $125 million to the SEC and $75 million to the CFTC . [read post]
22 Feb 2023, 9:35 am
According to his FINRA broker report, Souma was reportedly affiliated with the following firms during his career in the securities industry: 07/01/2020 – 07/01/2022, INSIGNEO SECURITIES, LLC (CRD#:29249), Beverly Hills, CA, B, 06/01/2016 – 07/30/2020, MORGAN STANLEY (CRD#:149777), LOS ANGELES, CA B, 07/09/2010 – 06/07/2016, J.P. [read post]
14 Feb 2023, 7:02 am
Who Owns Morgan Stanley? [read post]
6 Feb 2023, 9:05 pm
Large financial firms such as Merrill Lynch, Morgan Stanley, and UBS have started sustainable-investing platforms for their advisers, and they and others are increasingly relying on commercially available ESG data and ratings to gauge companies’ ESG performance. [read post]
2 Feb 2023, 10:55 am
01:12 – Jake Zamansky, Investment Fraud Lawyer Okay, if you’ve lost money from a Wall Street brokerage firm, let’s say UBS, Merrill Lynch, or Morgan Stanley, you have to go to what’s called FINRA arbitration. [read post]
2 Feb 2023, 2:00 am
Financial Stress Plagues Employees According to a recent Morgan Stanley study on workplace financial benefits, nearly three out of four workers report that financial stress and money-related stress negatively affect their work and personal lives, and they expect their workplaces to address it. [read post]
1 Feb 2023, 9:01 pm
Thank you Thomas [Kim] for that lovely introduction and I’m very pleased to be here at the Securities Regulation Institute giving the Alan B. [read post]
1 Feb 2023, 2:39 pm
Without further ado, here are the Top Ten SEC and CFTC recoveries of 2022 in cases other than FCPA enforcement, with links to more information about each of the cases: Off-Channel Messaging Sweep – The SEC and CFTC joined forces to collect over $1.8 billion from major financial institutions—including Barclays, Bank of America, Citi, Credit Suisse, Deutsche Bank, Goldman Sachs, Morgan Stanley, and others—over their failure to prevent… [read post]
1 Feb 2023, 2:05 am
Amazon, Meta, and Twitter have made significant cuts to their workforces, as well as Morgan Stanley and Goldman Sachs. [read post]
25 Jan 2023, 1:03 pm
Morgan Stanley financial advisor Anthony Michael Gallea in Hendersonville, North Carolina manages $1.4 billion in covered call writing strategy according to his website. [read post]
18 Jan 2023, 7:00 pm
., Morgan Stanley and Citigroup Inc. [read post]
17 Jan 2023, 6:11 am
The Tesla and SpaceX chief financed his $44 billion deal to take Twitter private in October by securing the huge debt from a syndicate of banks led by Morgan Stanley, Bank of America, Barclays, and Mitsubishi. [read post]
12 Jan 2023, 7:03 am
White dudes vying for the top job at Morgan Stanley, that is, now that the fourth white dude retired. [read post]
11 Jan 2023, 7:24 am
Morgan Stanley & Co. [read post]
10 Jan 2023, 7:39 am
Barclays Capital, Citigroup Global Markets, Credit Suisse, Goldman Sachs, Morgan Stanley, UBS, and Deutsche Bank Securities, DWS Distributors and DWS Investment Management Americas each agreed to pay penalties of $200 million each for communications failures. [read post]
4 Jan 2023, 6:09 am
Moreover, there was no evidence that either Morgan Stanley or Morgan Stanley Asia Limited sought to negatively affect Garvey’s post-employment opportunities. [read post]
3 Jan 2023, 2:17 pm
Her previous employers were Morgan Stanley (CRD#:149777) and Edward Jones (CRD#:250), also of Wichita Falls. [read post]
30 Dec 2022, 7:37 am
National Planning Corporation Michael Richie Fidelity Brokerage Services LLC Edward Von Der Schmidt Morgan Stanley & Co. [read post]
30 Dec 2022, 6:22 am
Should You Sue Your Broker-Dealer Over Your Investor Losses From Morgan Stanley’s Covered Call Options Strategy? [read post]
25 Dec 2022, 12:13 pm
Christopher Garvey, an overseas employee of US-based corporation Morgan Stanley, brought the case against the US Department of Labor Administrative Review Board (ARB) after he witnessed Morgan Stanley employees committing potential US securities law violations. [read post]
