Search Results for: Morgan Stanley
Morgan Stanley puts a digital spin on advisor training
June 22nd, 2018
Morgan Stanley’s digital transformation of its wealth management arm is extending beyond an evolving set of technology tools to its advisor training program. A third of Morgan’s trainees are being inducted into a digital-first approach with the intention that ...
Morgan Stanley to pay a $350,000 penalty
November 3rd, 2017
CFTC Orders Morgan Stanley and Co. Incorporated to Pay $350,000 Penalty for Omitting Futures and Options Data from Part 17 Large Trader Reports The Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Morgan Stanley ...
Morgan Stanley reported second quarter earnings well above expectations
July 20th, 2017
Morgan Stanley shares jump after earnings, revenue easily beat the Street Morgan Stanley reported second quarter earnings Wednesday that soundly topped expectations, helped by an increase in stock trading revenues and profits from its wealth management business. Earnings per ...
FINRA Bars Former Morgan Stanley Registered Representative
June 2nd, 2017
The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Morgan Stanley Smith Barney registered representative John Batista Bocchino for concealing approximately $190 million in Venezuelan bond trades from the firm, which had restricted such trading ...
Morgan Stanley: 5 Reasons why Pound Sterling Will Soon Rally against the Euro and Dollar
March 20th, 2017
Pound to Euro exchange rate: 1.1521 Pound to Dollar exchange rate: 1.241 The British Pound remains near multi-year lows against the Dollar, Euro and a host of other major currencies. Indeed, performance charts show that the past year has ...
Former Morgan Stanley Wealth Management financial adviser permanently banned
March 11th, 2017
ASIC has permanently banned Andrew Peter Panayiotides from providing financial services. ASIC found that Mr Panayiotides failed to act in the best interests of clients and provided advice to clients of Morgan Stanley Wealth Management in relation to exchange ...
Dollar and Emerging Market FX to rise; Euro to Weaken, Says Morgan Stanley
February 25th, 2017
New FX forecasts have been released by investment bank Morgan Stanley. They continue to reflect a bullish view of the Dollar but more against lower yielding developed market currencies such as the Euro and Yen than emerging market (EM) ...
Morgan Stanley agreed to pay an $8 million penalty and admit wrongdoing
February 15th, 2017
The Securities and Exchange Commission (SEC) announced that Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle charges related to single inverse ETF investments it recommended to advisory clients. The SEC’s ...
Morgan Stanley, Citigroup Charged With Misleading Investors About Forex Trading Program
January 25th, 2017
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney and Citigroup Global Markets have agreed to pay more than $2.96 million apiece to settle charges that they made false and misleading statements about a foreign exchange ...
Morgan Stanley reports Fourth Quarter Net Revenues of $9.0 Billion
January 17th, 2017
Morgan Stanley Reports Fourth Quarter and Full Year 2016: Fourth Quarter Net Revenues of $9.0 Billion and Earnings per Diluted Share of $0.81 Fourth Quarter Results Reflect Continued Strength in Sales and Trading and M&A Record Quarterly Wealth Management ...
