Two Illinois Suits Allege Yield Burning
- High Court Will Not Hear UBS Case on Arbitration. // American Banker;10/22/2002, Vol. 167 Issue 202, p3
Reports the rejection of UBS PaineWebber Inc.'s appeal on arbitration by the Supreme Court as of October 2002. Details of the decision by Ohio state court on the case; Why the issue of arbitration is important to brokerages; The argument by UBS in its appeal that the Ohio decision represents...
- Thrift Sues UBS Unit Over Vetoed Investment. Kuehner-Hebert, Katie // American Banker;4/9/2001, Vol. 166 Issue 68, p5
Reports on Honolulu, Hawaii-based American Savings Bank's filing of a lawsuit against UBS PaineWebber Inc. UBS PaineWebber's recommendation of a class of securities that regulators later ordered the thrift to sell at a loss; Similar lawsuit filed by American Savings against First Union Corp.
- Morgan Stanley Accord Wins Approval. // American Banker;8/8/2012, Vol. 177 Issue 122, p16
The article gives information about the U.S. Justice Department's case against Morgan Stanley for alleged manipulation of electricity prices with KeySpan and the $4.8 million settlement or disgorgement which was upheld by U.S. District Judge William Pauley in Manhattan.
- Morgan Stanley to Pay Mass. $102M. // American Banker;6/25/2010, Vol. 175 Issue F324, p12
The article reports that Morgan Stanley bank has agreed to pay 102 million dollars to settle claims by Massachusetts homeowners, the Massachusetts Pension Fund, and the Commonwealth's General Fund, that the firm financed unfair residential loans.
- CORRECTIONS. // On Wall Street;Sep2006, Vol. 16 Issue 9, p14
A correction to the article about female representatives suing Morgan Stanley that was published in the August 2006 issue is presented.
- Rep Settles With UBS Over Enron Affair. Jamieson, Dan // On Wall Street;Apr2004, Vol. 14 Issue 4, p21
Reports on the settlement of a lawsuit filed with the National Association of Securities Dealers against UBS PaineWebber for the dismissal of then-broker Chung Wu as of April 2004. Background of the case; Argument cited by UBS.
- 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.
- Morgan Bias Case Settled. Will This Stop Abuses? Sraeel, Holly // U.S. Banker;Aug2004, Vol. 114 Issue 8, p8
Focuses on the settlement of a sex discrimination case against Morgan Stanley & Co. Inc. in the U.S. Denial of the firm for equal pay and promotions to women in a division of its investment bank; Details on the obligation of a company to maintain a non-hostile work environment; Prevalence of sex...
- Institutional Investors Hound Morgan Over Executive Pay. // U.S. Banker;Sep2005, Vol. 115 Issue 9, p18
Focuses on the lawsuit filed by the Central Laborers' Pension Fund against Morgan Stanley & Co. Inc., for negligence in its handling of a lawsuit by financier Ronald Perelman, at the U.S. District Court in Manhattan, New York. Facts of the case; Contention of the plaintiff; Merits of the case.