Search for: "Stanley Peterson"
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15 May 2018, 1:00 pm
Peterson was previously employed at Morgan Stanley Smith Barney from 2011 to 2017 and St. [read post]
21 Oct 2020, 8:28 am
Amy Dru Stanley & Farah Peterson, "Race and History II" willcanderson Wed, 10/21/2020 - 10:28 Read more about Amy Dru Stanley & Farah Peterson, "Race and History II" Event Series: The Interdisciplinary Study of Race and Racism - Perspectives from the Across the Midway [read post]
12 Jul 2018, 8:00 am
Update: Morgan Stanley Advisor Cornelius Peterson – Fraud Charges According to reports, Cornelius Peterson, 29, a former Morgan Stanley advisor, was sentenced to 20 months in prison on June 28 after he admitted that he misused client funds to invest in and support a wind farm project that a friend had decided to start. [read post]
30 Apr 2012, 12:18 pm
Peterson, a former executive at Morgan Stanley, with violating the Foreign Corrupt Practices Act (FCPA) as well as securities laws for investment advisers by secretly acquiring millions of dollars worth of real... [read post]
7 Sep 2018, 7:40 am
The SEC alleges in its complaint that Polese and Peterson misappropriated money from their Morgan Stanley customers starting in 2014. [read post]
11 Feb 2019, 8:32 am
Earlier this year we told you about Morgan Stanley brokers James Polese and 29-year-old Cornelius Peterson, who were found guilty of financial charges ranging from conspiracy to aggravated identity theft. [read post]
29 Jan 2024, 12:00 pm
The White Law Group reviews the regulatory history of Morgan Stanley. [read post]
26 Apr 2012, 8:36 am
Peterson pled guilty to one count of conspiring to evade Morgan Stanley's internal controls. [read post]
31 Jan 2018, 2:23 pm
Morgan Stanley fired Polese and Peterson in June after it reportedly discovered the fraud. [read post]
24 May 2012, 10:54 pm
A district court has approved ex-Morgan Stanley (MS) executive Garth Peterson’s civil settlement with the Securities and Exchange Commission over alleged Foreign Corrupt Practices Act violations. [read post]
6 Oct 2009, 10:12 am
STONE, DICK MOLENDA, STANLEY PETERSON, DOROTHY L. [read post]
14 May 2018, 1:49 pm
Polese was previously employed at Morgan Stanley Smith Barney from 2010 to 2017. [read post]
17 Apr 2018, 5:19 pm
Polese and his partner Cornelius Peterson allegedly stole close to $500,000 from two customers that they used to invest in a wind farm project, according to the U.S. [read post]
30 Nov 2018, 2:39 pm
Morgan Stanley Adviser is Sentenced to Five Years for Fraud James Polese, an ex-Morgan Stanley (MS) financial adviser, is sentenced to five years in prison for investor fraud. [read post]
13 Nov 2009, 4:00 am
Morgan Stanley fired Peterson in December amid suspicions that he had violated the U.S. [read post]
27 Apr 2012, 5:00 am
Peterson worked for Morgan Stanley in Hong Kong and Shanghai from mid-2002 to December 2008. [read post]
15 Dec 2017, 3:20 pm
Matthew Peterson sitting on the same bench as Chief Judge Beryl Howell? [read post]
20 Jun 2022, 6:30 am
The event discussion, which also included remarks from Farah Peterson (University of Chicago) on the role of persuasion in legal interpretation, is available on the panel webpage. [read post]
9 May 2012, 1:00 pm
Peterson repeatedly misled Morgan Stanley about his and Asiasphere’s interests in the tower. [read post]
19 Oct 2012, 6:50 am
FCPA Declination Opinions The FCPA panel in the morning discussed the recent Morgan Stanley / Garth Peterson matter at some length. [read post]
