Search for: "Stanley A. August"
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3 Dec 2018, 12:42 pm
Equal Employment Opportunity Commission sued Stanley Black & Decker in August alleging the company fired a sales representative in its ... [read post]
21 Oct 2020, 10:40 am
On August 12, 2020, Morgan Stanley and FINRA entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) over allegations that it failed to reasonably supervise its former broker Kevin Gunnip. [read post]
29 Jan 2024, 12:00 pm
Failure to Supervise: Account Churning August 12, 2020 – Morgan Stanley hit with $950,000 for Failure to Supervise Morgan Stanley has been sanctioned by FINRA for alleged failures in supervising one of its brokers who engaged in account churning. [read post]
21 Oct 2020, 10:40 am
On August 12, 2020, Morgan Stanley and FINRA entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) over allegations that it failed to reasonably supervise its former broker Kevin Gunnip. [read post]
13 Sep 2022, 8:42 am
Our Houston Securities Attorneys and Investment Fraud Attorneys Can Help You Explore Your Legal Options Beginning August 26, 2022, the Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker Doug Marshall McKelvey. [read post]
21 Mar 2018, 8:17 am
Per his online, FINRA BrokerCheck report, Meier was previously registered with Merrill Lynch form April 1984 until August 1985, Amerifirst Securities Corp from December 1985 until February 1989, Thomas McKinnon Securities in New York, New York from March 1989 until August 1989, FAIC Securities from June 1983 until December 1989, Prudential Securities in New York, from August 1989 until November 1992, Citigroup Global Markets in Miami, Florida from October 1992 until June… [read post]
10 Oct 2007, 1:14 pm
But Morgan Stanley’s quantitative-strategies traders had one heck of an awful day. [read post]
16 Oct 2018, 8:06 am
Broker with more than 50 years experience booted for not cooperating with Finra probe, InvestmentNews, October 12, 2018 The FINRA Letter of Acceptance, Waiver, and Consent in the Buck Case (PDF) Barred ‘Bada Bing’ Broker Gives Morgan Stanley More Headaches, AdvisorHub, August 23, 2018 The post Another Ex-Morgan Stanley Broker is Barred by FINRA appeared first on Securities Fraud Attorney. [read post]
6 Aug 2019, 2:58 pm
On August 5, 2019, FINRA fined Morgan Stanley registered representative Ken Kavanagh $25,000 and suspended him from practicing in the securities industry for eighteen after discovering that he concealed his outside business activity. [read post]
22 Aug 2014, 10:06 am
On August 15, 2014, a three (3) member Financial Industry Regulatory Authority (“FINRA”) arbitration panel found Morgan Stanley & Co., Inc. [read post]
12 Jan 2024, 11:58 am
While this alleged conduct resulted in substantial profits for Morgan Stanley and Passi, the SEC contends that it violated federal securities laws.According to the SEC’s complaints, between June 2018 to August 2021, Passi and a subordinate on Morgan Stanley’s equity syndicate desk allegedly disclosed non-public information regarding impending block trades to select buy-side investors. [read post]
11 Aug 2010, 7:24 am
Among the deficient disclosures, which are highly significant, were: Morgan Stanley failed to disclose the receipt of investment banking and non-investment banking revenue from andquot;subjectandquot; companies; Morgan Stanley failed to disclose its role as a underwriter, manager, or co-manager, of public offerings for the andquot;subjectandquot; companies; Morgan Stanley failed to disclose that it acted as andquot;market makerandquot; for certain… [read post]
22 Sep 2010, 2:26 pm
The Wall Street Journal, China Real Time Report, August 16, 2010 by Stanley Lubman http://bit.ly/aR0Q5U The beatings of petitioners or protesters—or even anyone like the official’s wife who was mistaken for a petitioner—only illustrates the conflicting goals of maintaining stability and citizen’s rights. [read post]
6 Oct 2011, 11:26 am
The Wall Street Journal, China Real Time Report, August 31, 2011 by Stanley Lubman http://blogs.wsj.com/chinarealtime/2011/08/31/dont-overlook-chinas-ordinary-laywers/ There is a relatively small number of activist Chinese lawyers (commonly referred to as “rights protectors”) who specialize in representing Chinese citizens whose rights are violated by government agencies…. [read post]
21 Mar 2022, 3:21 pm
Haugabook, a 26-year veteran of the financial services industry, left Morgan Stanley for RJA in August 2017, according to BrokerCheck. [read post]
30 Dec 2013, 9:00 am
Morgan Stanley v. [read post]
13 Sep 2011, 10:00 am
The Wall Street Journal, China Real Time Report, August 10, 2011 by Stanley Lubman http://on.wsj.com/oCIS9e China has expanded the coverage of its social insurance system to include foreigners working in the country in a move that could have significant consequences for Americans and American businesses operating in the country unless Washington steps in to negotiate on their [...] [read post]
24 Sep 2020, 3:44 pm
Illnesses started on dates ranging from January 21, 2020, to August 26, 2020. [read post]
3 Jan 2022, 11:43 am
In August 2021, in its motion to dismiss the lawsuit, the bank argued that despite in-depth investigations and continual monitoring over the years, it had not become aware of a single instance of any misuse of data derived from any of its own sources. [read post]
Broker Ken Kavanagh Of Morgan Stanley Suspended, Fined For Not Disclosing Business Managing Athletes
6 Jan 2020, 8:30 am
Did You Invest With Ken Kavanagh Or Morgan Stanley? [read post]
