Search for: "Morgan Stanley" Results 161 - 180 of 3,189
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20 May 2020, 2:17 pm by Silver Law Group
Morgan Securities LLC   HSBS Securities (USA) Inc   Arts, Christopher   Scarsdale Equities LLC   Leeb Brokerage Services Group, Inc   Bailey, Michael   PFS Investments Inc   Bisch, Sarah   Santander Securities LLC   Edward Jones   Bishop, Tywan   Charles Schwab & Co., Inc   E Trade Securities LLC   Borja, Mauricio   Allstate Financial Services, LLC   Botner, Ryan   MML Investors Securities, LLC  … [read post]
20 May 2020, 1:57 pm by Silver Law Group
  Stifel, Nicolus & Company, Inc   Sterne, Agee & Leach, Inc   Kievman, Cary   Ameriprise Financial Services, Inc   Morgan Stanley Smith Barney   Krupnick, Jeffrey   Ameriprise Financial Services, Inc   JHS Capital Advisors, LLC   Lake, Jonathan   Wells Fargo Clearing Services, LLC   Morgan Stanley   McCutchen, Jerry Sr. [read post]
19 May 2020, 6:32 pm by John Jascob
In the second case, Morgan Stanley Smith Barney was penalized $1 million for lacking policies and procedures that should have prevented an employee, who was later hacked by a third party, from downloading and transferring confidential customer data to his personal server at home. [read post]
18 May 2020, 10:19 am by Shepherd Smith Edwards & Kantas, LLP
  Continue Reading › The post Morgan Stanley Sued for Unsuitable Recommendations Over Harvest Volatility Strategy, MLPs and Other Complex Investments Made To A Texas Investor appeared first on Investor Lawyers Blog. [read post]
18 May 2020, 10:19 am by Shepherd Smith Edwards & Kantas, LLP
  Continue Reading › The post Morgan Stanley Sued for Unsuitable Recommendations Over Harvest Volatility Strategy, MLPs and Other Complex Investments Made To A Texas Investor appeared first on Investor Lawyers Blog. [read post]
Many large employers, such as Bank of America; Danone; Morgan Stanley; and our own parent company, Marsh & McLennan, are pledging not to lay off workers amid the coronavirus crisis. [read post]
15 May 2020, 2:45 pm
The banking consortium includes Citigroup, Credit Agricole CIB, Goldman Sachs, Mizuho Securities and Morgan Stanley. [read post]
15 May 2020, 2:01 am by James Davis, Editor, HR Daily Advisor
Often, what makes leaders and workplace cultures great is that they are warm and demanding. [read post]
13 May 2020, 1:47 pm by Jon Shazar - Dealbreaker
These words mean different, diametrically opposite things in Jim Gorman’s homeland. [read post]
12 May 2020, 5:56 am by Astarita
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC (MSSB) has agreed to settle charges that it provided misleading information to clients in its retail wrap fee programs regarding trade execution services and…Read the Full Press ReleaseHave a securities law question? [read post]
8 May 2020, 9:47 am by Silver Law Group
  Christian Evans   Morgan Stanley   Highland Capital Funds Distributor, Inc. [read post]
8 May 2020, 7:33 am by Silver Law Group
Prior to joining FSC Securities Corporation, Fox was registered with Morgan Stanley and Janney Montgomery Scott LLC. [read post]
8 May 2020, 6:31 am
SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via EmailIn the Matter of Sune Gaulsh, Respondent (FINRA AWC)FINRA Imposes Fine and Suspension for Rep's Fraternal Benefit Society Short-cutIn the Matter of Robert Nordaune, Respondent (FINRA AWC)CityMD mistakenly told… [read post]
8 May 2020, 6:31 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5218/securities-industry-commentator/New York Stock Exchange to partially reopen May 26, with 'vital new safety measures,' president says (Bloomberg by Yun Li)Wall Street Heavyweights Are Sounding Alarm About Stocks (Bloomberg by Katherine Burton, Melissa Karsh, and Sophie Alexander)Post-coronavirus, Morgan Stanley, Goldman… [read post]
8 May 2020, 6:31 am
FINRA Arbitrators Award Severance to Former Barclays Employee (BrokeAndBroker.com Blog)How Citigroup, Morgan Stanley Are Returning to Offices in Asia (Bloomberg by Cathy Chan and Alfred Liu)The Work-From-Home Trader Who Shook Global Markets / A new book reveals fresh details about the man authorities blamed for the Flash Crash that erased $1 trillion of value in a matter of minutes. [read post]
7 May 2020, 3:43 pm by Charles Field
  For funds that invest globally, Morgan Stanley’s EAFE Index (Europe, Asia and Far East) is one of the more popular benchmarks. [read post]
7 May 2020, 6:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5215/securities-industry-commentator/SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via EmailIn the Matter of Sune Gaulsh,… [read post]
27 Apr 2020, 4:33 am by Deb Givens
Other defendants include Barclays, Citigroup, Credit Suisse, Deutsche Bank, Goldman Sachs, Morgan Stanley, Royal Bank of Scotland and Wells Fargo & Co, or their respective affiliates. [read post]