Search for: "Stanley Wells"
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11 Oct 2018, 10:58 am
They are ex-Morgan Stanley broker (MS) Kevin Smith and former Wells Fargo (WFC) brokers Wilfred Rodriquez Jr. and Thomas A. [read post]
3 Oct 2017, 11:25 am
The law firm is investigating sales of Puerto Rico municipal bonds by large U.S. based brokerage firms such as Wells Fargo and Morgan Stanley to their brokerage customers. [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these… [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these… [read post]
5 Nov 2019, 8:14 am
Morgan Stanley Ordered To Pay Over $300K In Fines And Restitution Secretary of the Commonwealth of Massachusetts, William Galvin, is ordering Morgan Stanley (MS) to pay a $200K fine, as well as $182K in restitution to four customers who suffered losses while working with former broker Justin E. [read post]
13 Feb 2020, 7:45 am
Ex-Morgan Stanley Broker Sentenced To 30 Months Please contact Shepherd Smith Edwards and Kantas (SSEK Law Firm) if Elias Herbert Hafen, a former Morgan Stanley (MS) and Wells Fargo (WFC) broker, was your financial representative when you suffered substantial investment losses that you think may be due to fraud. [read post]
26 Feb 2008, 4:24 am
Morgan Stanley, it seems, is the darling of the mulitbillion dollar bear hug these days. [read post]
1 Sep 2022, 10:00 am
Comitz | Stanley is honored to be recognized and takes pride in representing dentists, physicians and other professionals Valley-wide, as well as nationally. [read post]
18 Sep 2008, 9:08 am
Well, "go" and "lost" may not be exactly right, since ML didn't go anywhere, it was sold.What a mess.Where were the regulators during all of this subprime nonsense? [read post]
4 Oct 2016, 1:18 pm
First Wells Fargo, now Morgan Stanley. [read post]
6 Jan 2012, 5:07 pm
Morgan Stanley served as the lead underwriter for the initial public offerings of Zynga and LinkedIn and is a shareholder in both companies as well. [read post]
19 Dec 2007, 8:39 am
Will the chief of Morgan Stanley need to give up his job as well? [read post]
7 May 2012, 2:07 pm
FINRA recently has announced that it has sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
12 Aug 2014, 12:23 pm
What with the government's crackdown on just about everyone (with the exception of Certain People's Relatives), the well-prepared citizen and visitor will certainly want to read Stanley Lubman's timely explanation of the various rubrics - legal, semi-legal,and illegal - under which various authorities in China can lock you up. [read post]
21 Jul 2010, 8:59 am
Morgan Stanley drew criticism from a pair of well-known Wall Street commentators for choosing not to disclose a tax windfall that accounted for a quarter of the company's second-quarter earnings. [read post]
1 Apr 2010, 3:15 am
Morgan Stanley Smith Barney is suing a former St. [read post]
4 Jun 2023, 11:16 am
Morgan Stanley and two of its brokers will have to pay more than $300,000 over contract breach and other claims arising from the pair of advisors' departure from the broker-dealer affiliate of Huntington Bank in Ohio.A Financial Industry Regulatory Authority arbitration panel ordered Morgan Stanley as well as James Patrick Riepenhoff and Frank [...] [read post]
28 Jan 2020, 7:21 am
Before joining Morgan Stanley, he worked for Wells Fargo Advisors (CRD#: 19616), Prudential Securities Incorporated (CRD#: 7471), Salomon Smith Barney (CRD#: 7059), Lehman Brothers (CRD#: 7506), E.F. [read post]
30 Mar 2022, 5:57 am
Brokers realize that and we are receiving calls from former Morgan Stanley brokers whose deferred compensation was withheld when they resigned from Morgan Stanley.More InformationWe are interested in speaking to other former Morgan Stanley brokers, as well as former Wells Fargo brokers regarding their experience with the deferred compensation programs.Call our firm at 212-509-6544 or email us at mja@sallahlaw.com.We represent advisors in all 50 states. [read post]
16 Oct 2018, 8:06 am
From 2011 to 2015 he was with Wells Fargo (WFC). [read post]
