Morgan Stanley won't appeal SEC ruling in G-37 case
- MSDW Readies Fund Portability. Chapelle, Tony // On Wall Street;Mar2000, Vol. 10 Issue 3, p13
Looks at the preparation of Morgan Stanley Dean Witter (MSDW) for its fund portability agreement with Prudential Securities in the United States (US). Encouragement by the US Securities and Exchange Commission of the portability of proprietary products; Percentage of bonuses trimmed by MSDW;...
- Funds Freeze Broker Kickbacks. // Money Management Executive;11/24/2003, Vol. 11 Issue 46, p1
Talks about broker compensation deals among mutual funds. Complaint of the U.S. Securities & Exchange Commission and National Association of Securities Dealers against Morgan Stanley; Amount of money Morgan Stanley agreed to pay in fines and relinquish profits.
- Newhouse Rejects Another Role. Dow Jones // American Banker;4/4/2005, Vol. 170 Issue 63, p23
States Stephan Newhouse rejected offers to remain with Morgan Stanley after he was ousted as president, according to information from a filing with the Securities and Exchange Commission. The number of years he was with the firm; The notice he gave.
- Regulators Fueled Facebook Flop. DeLegge, Ronald L. // Research;Jul2012, Vol. 35 Issue 7, p27
The article offers information regarding the legalized market manipulation by Morgan Stanley & Co. Inc. for boosting the stocks of Facebook Inc. It describes the failure of regulation of fair disclosure (Regulation FD) by the U.S. Securities and Exchange Commission (SEC). Also discussed are...
- Morgan Stanley to Pay $7.9 Million to Settle Best Execution Case with SEC. // ComplyNet;May2007, p7
This article states that Morgan Stanley & Co. Inc. has settled fraud charges filed against it by the U.S. Securities and Exchange Commission (SEC) about its failure to provide best execution to certain retail orders for over-the-counter (OTC) securities. The company will pay $7.9 million in...
- SEC refuses to reconsider Rule G-37 exemption request. Hume, Lynn Stevens // Bond Buyer;12/19/97, Vol. 322 Issue 30296, p1
Reports that the Securities and Exchange Commission (SEC) is not reconsidering the National Association of Securities Dealers' (NASD) denial of Morgan Stanley and Company's request for Rule G-37 exemption from a ban on negotiated municipal business with Massachusetts. What is being affected by...
- Untitled. // Global Finance;Nov99, Vol. 13 Issue 11, p12
Provides news on financial services industry as of November 1999. Why Morgan Stanley Dean Witter ended its advisory role with Deutsche Post; Proposal of Arthur Levitt Jr., chairman of the United States Securities and Exchange Commission, to forge a national system for stock trading.
- Costly Settlements at MSDW. // On Wall Street;Mar1999, Vol. 9 Issue 3, p29
Reports that Morgan Stanley Dean Witter & Co. agreed to pay to settle charges from the National Association of Securities Dealers (NASD). Charges from NASD on the company's alleged failure to honor some quotes in its role as a Nasdaq market-maker; Details on the settlement; Settlement by Morgan...
- SEC unravels insider ring. Salcedo, Yesenia // Futures: News, Analysis & Strategies for Futures, Options & Deri;Apr2007, Vol. 36 Issue 5, p14
The article reports that U.S. Securities and Exchange Commission (SEC) charged 14 defendants in a trading scheme that netted more than $15 million in illegal profits using information stolen from UBS Securities LLC and Morgan Stanley & Co. Inc. SEC claimed thatt the scheme involved unlawful...