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Registered Rep.
October 29, 2002
Rick Weinberg |
Morgan Stanley Opposes Fine Following the New York Attorney General's investigation of Merrill Lynch's research practices, the firm was fined $100 million. The attorney general's office is in the midst of an ongoing investigation of other firms, including Morgan Stanley, which is fighting back.   |
Registered Rep.
April 28, 2003
Will Leitch |
Historic Settlement Doesn't Target Brokers -- But You're Hardly Home Free Now that the Wall Street global settlement is official, brokers might be inclined to heave a sigh of relief. Don't. While the settlement will have a lasting impact on the brokerage industry, brokers have been unscathed by the Spitzer investigations -- so far. |
Registered Rep.
November 12, 2003 |
Morgan Stanley Launches Conflict-of-Interest Probe Morgan Stanley has announced it is conducting an in-house conflict-of-interest probe. |
Registered Rep.
July 17, 2006
John Churchill |
Research Still a Problem, NASD Fines Three Firms Fines issued to Citigroup, Credit Suisse and Morgan Stanley are the result of the firms' failures to review and certify proper disclosure of price target valuation methods and risks, despite repeated warnings from NASD. |
Registered Rep.
December 1, 2006
Halah Touryalai |
Out with a Bang Eliot Spitzer may have less than a month left as New York State's attorney general, but the governor elect says there two new Wall Street cases he's taking on before year's end. |
Registered Rep.
September 25, 2002
Rick Weinberg |
NY Attorney General: I Could Have Nailed Merrill on More Serious Charges Eliot Spitzer said he could have pursued criminal charges against Merrill Lynch for its conflicts of interest in its research, but that he didn't want to "destroy" the firm or Wall Street. |
BusinessWeek
January 12, 2004 |
A White Knight For Mutual-Fund Investors No mutual-fund executive wants to get a phone call from Eliot Spitzer these days. |
Registered Rep.
March 15, 2006
Kevin Burke |
Merrill Fined $2.5 Million Over Lax Email Oversight The SEC slapped the nation's largest brokerage with a $2.5 million fine and a cease-and-desist order for a "systemic" mishandling of email records related to its brokerage business. |
Registered Rep.
August 30, 2005
John Churchill |
Retaining Those Pesky Emails Morgan Stanley is in for what could be a $10 million fine from the SEC for failing to retain emails, according to a report. |
Registered Rep.
April 8, 2004
Joan Warner |
Trouble In The House That Purcell Built? After suffering through a cruel bear market, Morgan Stanley has come under regulatory scrutiny and legal fire for practices in several key businesses in the past two years, including mutual fund sales. |
BusinessWeek
July 28, 2003
Borrus & McNamee |
States vs. the SEC: What's All the Shouting for? On the surface, it looks like the fragile alliance between state and federal securities cops is crumbling. There's more -- and less -- going on here than meets the eye. |
Registered Rep.
September 10, 2008 |
Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities. |
Registered Rep.
June 10, 2003
Will Leitch |
Citi Board Receives Dubious Distinction Well, here's more bad news for Citigroup, in case the company isn't immune to it by this point. A study released by Portland, Maine-based The Corporate Library (TCL) says that Citigroup has the worst board of directors in the country. |
| Knowledge@Wharton |
The Merrill Lynch Settlement: Good for Merrill, Not for Investors Many say the Merrill settlement does not resolve investors' fundamental concern: the inherent conflict produced by analysts' multiple dual role of serving investors and Merrill's investment banking business. |
Registered Rep.
May 1, 2008
Bill Singer |
The Smaller They Are, The Harder They Fall For all the day's talk about overhauling Wall Street regulation, committing to one simple step would go a long way: a guarantee of equal justice for all. |
Investment Advisor
January 2007
Kara Stapleton |
News & Products Bank of New York and Mellon Financial Corporation announced plans to merge... The brokerage firm Jefferies & Co. will pay $9.7 million to settle SEC charges... New York Attorney General Eliot Spitzer has sued UBS... etc. |
CFO
January 30, 2004
Tim Reason |
Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds. |
Salon.com
January 16, 2003
Arianna Huffington |
Cold feet Eliot Spitzer caved to Wall Street criminals. Maybe he decided that taking on the most powerful people in the country might not be the best strategy for a man considering a run for governor. |
The Motley Fool
December 13, 2011
Evan Niu |
MBIA Shares Popped Then Gave It Back: What You Need to Know Shares of bond insurer MBIA popped this morning by 11%, but have given it all back and are sitting slightly in the red as of this writing, after it settled an ongoing suit with Morgan Stanley. |
Registered Rep.
August 7, 2008
John Churchill |
Citi Settles With SEC and Cuomo Over ARS Failure The firm has agreed to buy back auction rate securities sold to institutional and retail investors nationwide who've been stuck with the illiquid investment vehicles since February 12, 2008. |
Registered Rep.
April 29, 2005
Kristen French |
Raymond James Fined, Drops Fee-Based Brokerage---Will Others Follow? Following the NASD fine of Raymond James for pushing fee-based accounts on the wrong clients, the next question is how the settlement will affect other firms that offer the same accounts, including wirehouse giants Morgan Stanley, Merrill and Smith Barney. |
The Motley Fool
December 1, 2004
Tim Beyers |
Carnival of the Ignorant The NYSE faces down brokers who didn't provide basic information to thousands of IPO investors. But refunds? Sorry, folks, but when you invest, you take a risk. |
Registered Rep.
November 1, 2005
John Churchill |
Market-Timer Banned and Fined Theodore Sihpol III, a former broker at Banc of America Securities (BAS), and poster boy for the market-timing scandals -- and the first target of Spitzer to say no to a plea offer -- has settled with the SEC. |
Salon.com
October 10, 2002
Damien Cave |
Wall Street's worst nightmare Does New York Attorney General Eliot Spitzer really want to clean up the stock market, or just make himself look good? |
Registered Rep.
March 12, 2008
Kristen French |
Advisors: No Love Lost On Spitzer Eliot Spitzer, who's dramatic demise over the past few days has been covered backwards and forwards by every media outlet in the country, is not getting a lot of sympathy from the financial community. |
Financial Planning
January 1, 2005
Humberto Sanchez |
The Muni Market Morgan Stanley pays for violating the disclosure rule in failing to disclose to purchasers of municipal bonds that the bonds could be called prior to their maturity dates. |
Investment Advisor
February 2009
Kara P. Stapleton |
B/D Briefs News & Products SEC votes to regulate EIAs as securities... Citigroup and Morgan Stanley form joint venture called Morgan Stanley Smith Barney... LPL Financial plans to lay off 10% of workforce... FINRA announces a $1 million fine against E*Trade Securities... |
Registered Rep.
May 9, 2007
Christina Mucciolo |
Morgan Stanley to pay $7.96 Million for Best Execution Fraud The SEC announced that Morgan Stanley will pay penalties to settle the charges against the firm for failing to provide best execution to clients. |
The Motley Fool
July 19, 2004
Selena Maranjian |
Brokers Offer Second Opinions Brokerages go from conflicts of interest to conflicts of recommendations. Many brokerages will now begin sending you second opinions on various investment opportunities along with their own recommendations. |
Registered Rep.
December 1, 2007 |
Enough Is Not Enough A group of Morgan Stanley reps involved in a race-discrimination suit say a proposed $16-million settlement is just not enough. |
Registered Rep.
January 1, 2006
Kevin Burke |
Spitzer Hints Scandal Is Winding Down While Spitzer remains tight-lipped on the status of the industrywide trading investigation he launched in September 2003, he hinted that it is perhaps nearing the finish line. |
The Motley Fool
April 2, 2004
Shannon Zimmerman |
SEC: Toothless No More? Is the SEC getting serious about fund industry reform? |
Registered Rep.
June 24, 2004
John Churchill |
Morgan Stanley Sued by New Hampshire Regulators New Hampshire securities regulators are suing Morgan Stanley, charging that in 2002 the firm encouraged its brokers to sell proprietary mutual funds by using sales contests, a violation of NASD rules. |
The Motley Fool
December 20, 2005
Stephen D. Simpson |
Will Morgan Stanley Come Back? Investors who thought that the return of John Mack to Morgan Stanley would mean instant and glorious change might be feeling a bit disappointed about now. |
Registered Rep.
January 1, 2005
Will Leitch |
Not in New York, New York Though no other major financial firm specifically requires all arbitrations to be subject to New York law, experts say most cases are handled under those rules anyway. |
Registered Rep.
September 1, 2005
Karen Donovan |
Under Siege Executives of broker/dealer firms are not exaggerating when they say it seems like regulators are locked into a competitive battle to collect the most pelts on Wall Street. |
BusinessWeek
January 31, 2005
Emily Thornton |
Why You Lost All That Money In Blood on the Street: The Sensational Inside Story of How Wall Street Analysts Duped a Generation of Investors, author Charles Gasparino shows how top research analysts and their investment bank bosses preyed on unsuspecting individual investors. |
Registered Rep.
March 1, 2005
Will Leitch |
A Sporting Chance Morgan's shareholders are testy now, and they are looking for someone to blame for the company's ills. Having taken a 46% raise in a year in which his company's stock dropped 8.2 percent, chairman and CEO Philip Purcell makes an easy target. |
The Motley Fool
April 1, 2005
Tom Taulli |
Et Tu, Morgan Stanley? It's a palace revolt at Morgan Stanley. But we should probably not feel too sorry for CEO Philip Purcell, who made about $22 million last year. If he loses, he will not suffer the fate of Caesar but will have a very big payday instead. |
Registered Rep.
January 1, 2007
Halah Touryalai |
Spitzer Defends UBS Brokers--No, Seriously Eliot Spitzer announced in mid-December that he thinks the $89 million overtime settlement that UBS agreed to in February 2006 is unfairly distributed, and he's asking a Northern California District Court to reject the proposed settlement amount. |
Registered Rep.
January 1, 2006
Dan Reingold |
The Insiders' Game This author and Wall Street analyst concludes in his new book, Confessions of a Wall Street Analyst, that we'll never get a clear read on exactly where some insiders went wrong and whether our securities laws, regulations and sanctions are sufficient to deter such behavior in the future. |
Registered Rep.
March 3, 2006
Halah Tourylai |
Third Wirehouse Coughs Up Millions In Overtime Cases Yesterday, Morgan Stanley became the third wirehouse, after Merrill Lynch and UBS, to settle class action suits with California brokers over overtime pay in the past seven months -- the second in three weeks. |
Registered Rep.
October 13, 2005
John Churchill |
Market-Timer Banned and Fined Theodore Sihpol III, the former broker at Banc of America Securities (BAS) and poster boy for the market-timing scandals, agreed to pay a $200,000 fine and to accept a five-year ban from the securities industry. |
Registered Rep.
November 7, 2003
David A. Geracioti |
SEC Chief "Distressed" at "Wrongdoing" in Industry SEC Chairman William Donaldson's favorite word is distressed -- at least that was true during both his speech to the Securities Industry Association annual meeting and the press briefing that followed. |
Registered Rep.
September 10, 2009
Kristen French |
Gorman Grabs Morgan Stanley CEO Slot James Gorman, the former head of Morgan Stanley's retail brokerage division and now co-president of the firm, is slated to take over the CEO job in January, 2010. |
| Knowledge@Wharton |
What's Wrong With Spitzer's Solution to Analyst Bias? Experts on the financial markets disagree over how bad the stock-analyst bias problem is today. But few find much good to say about Eliot Spitzer's approach. |
The Motley Fool
March 22, 2004
Shannon Zimmerman |
Spitzer Rides Again Chalk another one up to General Eliot Spitzer and his war on bad funds. |
Registered Rep.
March 1, 2005 |
Blotter Regulate Thyself, NASD... Class is in Session... He Looked Bigger on TV... |
The Motley Fool
August 2, 2004
Selena Maranjian |
Buying Your Brokerage? There are good and bad ways to invest in securities firms. Look for these red flags before investing in a broker-dealer offering (BDO.) |
The Motley Fool
May 12, 2010
Alex Dumortier |
Morgan Stanley Wishes It Weren't Like Goldman U.S. prosecutors are investigating whether Morgan misled investors in mortgage derivatives; similar to the charges against Goldman Sachs. |
