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8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
7 Nov 2023, 5:45 am
Morgan Stanley, American, United and Southwest Airlines. [read post]
6 Nov 2023, 11:16 am
, In re Morgan Stanley Smith Barney, and In re Rosenthal Collins Group cases is always of concern to the CFTC. [read post]
2 Nov 2023, 6:55 am
Filoramo’s most recent employer, Morgan Stanley, terminated his employment on 05/01/2023. [read post]
1 Nov 2023, 2:07 pm
Morgan Stanley may pay up to $1 billion and promise to strengthen its internal controls to resolve a U.S. probe into how it handled private stock sales. [read post]
30 Oct 2023, 6:17 am
Ya had layoffs at Morgan Stanley. [read post]
30 Oct 2023, 6:17 am
Federal Court Confirms Multi-Million Dollar FINRA Arbitration Award for Charles Schwab Against Morgan Stanley (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
30 Oct 2023, 6:17 am
from our companion publication"Securities Industry Commentator" https://www.rrbdlaw.com/7185/securities-industry-commentator/ UPDATE: Federal Court Confirms Multi-Million Dollar FINRA Arbitration Award for Charles Schwab Against Morgan Stanley (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
26 Oct 2023, 8:53 am
Ronald Diaz Morgan Stanley J.P. [read post]
26 Oct 2023, 8:35 am
Shawn O’Connell Morgan Stanley Merrill Lynch, Pierce ,Fenner & Smith Incorporated Steven Thompson Network 1 Financial Securities Inc. [read post]
26 Oct 2023, 7:49 am
Morgan Stanley Timothy Claypool Northwestern Mutual Investment Services, LLC Farmers Financial Solutions, LLC Ebony Parks LPL Financial LLC Wells Fargo Clearing Services, LLC Rashawn Russell Deutsche Bank Securities Inc. [read post]
25 Oct 2023, 12:49 pm
Ramon Perez Morgan Stanley UBS Financial Services Inc. [read post]
25 Oct 2023, 12:29 pm
SW Financial Jin Zhu Morgan Stanley Key Investment Services LLC FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
25 Oct 2023, 8:05 am
Morgan Stanley Timothy Claypool Northwestern Mutual Investment Services, LLC Farmers Financial Solutions, LLC Ebony Parks LPL Financial LLC Wells Fargo Clearing Services, LLC Rashawn Russell Deutsche Bank Securities Inc. [read post]
22 Oct 2023, 9:01 pm
’”[20] The court found that Morgan Stanley failed to meet its disclosure obligations under Item 303 and that the bank’s omissions were material, but the court ultimately did not find Morgan Stanley liable under Section 10(b) because the plaintiffs had failed to establish a strong inference of scienter.[21] In 2017, the Supreme Court had the opportunity to address this circuit split in Leidos, Inc. v. [read post]
13 Oct 2023, 10:48 am
Miche Jean was a registered securities salesperson with Morgan Stanley in Rockville, Maryland since 2015. [read post]
9 Oct 2023, 1:21 pm
Apparently, an ex-wife didn't quite understand how her Morgan Stanley brokerage account generated income, profits, and losses. [read post]
5 Oct 2023, 3:48 pm
Morgan Stanley Ordered To Pay Senior Investor $1.8M If your financial advisor placed too much of your funds in one particular stock or kind of investment, you may be able to pursue damages from the broker-dealer. [read post]
5 Oct 2023, 8:11 am
Seven banks led by Morgan Stanley hold some $13 billion in debt.... [read post]
28 Sep 2023, 11:24 am
Did You Suffer Portfolio Losses While Working With Ex-Morgan Stanley Broker Ron Filoramo? [read post]
