Search for: "Stanley A. August"
Results 21 - 40
of 704
Sorted by Relevance
|
Sort by Date
13 Nov 2017, 1:14 pm
FINRA Fines and Censures Morgan Stanley Smith Barney over Supervisory Issues According to the Financial Industry Regulatory Authority, Morgan Stanley Smith Barney LLC (CRD #149777, Purchase, New York) was issued an AWC on August 22, 2017 in which the firm was censured, fined $500,000, and ordered to pay $103,219.25, plus interest, in restitution to investors. [read post]
12 Jan 2024, 8:56 am
According to the SEC’s orders, from at least June 2018 through August 2021, Passi and a subordinate on Morgan Stanley’s equity syndicate desk disclosed non-public, potentially market-moving information concerning impending block trades to select buy-side investors despite the sellers’ confidentiality requests and Morgan Stanley’s own policies regarding the treatment of confidential information. [read post]
30 Aug 2023, 10:13 am
On August 21, 2023, a retired artist and teacher of the visually impaired represented by Lax & Neville LLP won a FINRA award against Morgan Stanley for its years-long recommendation that she invest her savings in WisdomTree (WETF), a sponsor of exchange traded funds (“ETFs”) and asset manager. [read post]
11 Nov 2011, 10:03 am
Moreover, before August 2009, the supervisory system was set up to capture only one of two charges that Morgan Stanley added to the price of a bond. [read post]
3 Sep 2020, 8:21 am
According to FINRA Disciplinary actions for August 2020, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Cynthia Barrera Morgan Stanley Smith Barney Morgan Stanley & Co. [read post]
21 Mar 2012, 9:56 am
Skowron, 42 years old, pleaded guilty to a single count of conspiracy to commit securities fraud and to obstruct a SEC investigation last August. [read post]
20 Aug 2008, 8:11 am
“Morgan Stanley is facing a ââ [read post]
21 Aug 2008, 6:44 am
“Morgan Stanley is facing a ââ [read post]
5 Aug 2012, 10:00 am
United States, No. 11-1395, which is pending a response from the Solicitor General (due August 13), and Stanley v. [read post]
1 Jun 2022, 11:12 am
Valenzuela and Morgan Stanley were also ordered to pay $10,000 in attorney fees. [read post]
1 Jun 2022, 11:12 am
Valenzuela and Morgan Stanley were also ordered to pay $10,000 in attorney fees. [read post]
1 Jun 2022, 11:12 am
Valenzuela and Morgan Stanley were also ordered to pay $10,000 in attorney fees. [read post]
11 Oct 2018, 10:58 am
Morgan Stanley fired Smith in 2016 in the wake of the broker fraud allegations. [read post]
14 Jul 2022, 8:28 am
The first was filed on 4/13/2022, alleging that from August 2019 to February 2022, he misappropriated funds from the customers’ Liquidity Access Line accounts. [read post]
2 Oct 2014, 6:28 am
On August 25, 2014, FINRA suspended Travis S. [read post]
2 Aug 2007, 11:13 am
(See FINRA News Release, August 2, 2007). [read post]
24 Aug 2018, 10:55 am
In August 2015, Malloy consented to FINRA’s findings contained in a Letter of Acceptance, Waiver and Consent that he allegedly violated FINRA rules for effecting discretionary transactions in the joint accounts of two Morgan Stanley customers without written authorization from the customers and written acceptance of the accounts as discretionary by Morgan Stanley. [read post]
24 Aug 2023, 4:00 am
Tim Knight Associate Librarian, Head of Technical Services Osgoode Hall Law School, York University On August 6, 2016, five young Indigenous people drove onto the Stanley family farm in a car with a flat tire. [read post]
30 Jun 2009, 1:55 am
Morgan Stanley & Co., Inc., 09-CV-5415 (S.D.N.Y.).According to Ashland's complaint, in or around August 2007, Ashland expressed concerns to Morgan Stanley about the global financial crisis. [read post]
18 Jul 2018, 6:02 am
An angry Morgan Stanley customer had what he deemed a dormant account. [read post]
