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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 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. |
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.
June 3, 2003
Will Leitch |
Brokerage Chiefs in Spitzer's Sights When New York Attorney General Eliot Spitzer announced the $1.4 billion settlement of the securities conflict of interest case in April, his office warned that it was "the beginning, not the end." Wirehouses are finding out, in a big way, that he wasn't kidding. |
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. |
Registered Rep.
August 17, 2005
Kristen French |
Gorman to the Rescue? Now that James Gorman has been selected as the future head of Morgan Stanley's retail brokerage, what will he do to turn it around, and can he pull it off? |
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.
June 1, 2005
Kristen French |
Star Wars Recruiting competition between the top brokerage firms is fiercer than ever, and Morgan Stanley is currently wielding one of the most powerful deals on Wall Street. |
BusinessWeek
September 2, 2010
Moore & Mildenberg |
In the Battle of the Big Brokers, Merrill Is Winning Merrill Lynch earns higher profits with fewer advisers, thanks to a smooth integration with Bank of America and more cross-selling. |
Registered Rep.
July 1, 2005
Kristen French |
Apres Purcell--Le Spinoff? Now that Morgan Stanley's CEO has given up, the future of the old Dean Witter organization is in question. Morgan Stanley remains under pressure to improve profitability and its stock price. |
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.
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. |
Registered Rep.
July 26, 2005
Kristen French |
Morgan Trainee Program Could Get Whacked John Mack is moving quickly to get Morgan Stanley's ailing retail brokerage in shape. |
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.
July 1, 2004
Will Leitch |
The End of the World as We Know It? Is the traditional model for securities houses --- investment banking, research, asset management, retail brokerage all coexisting under one roof --- more trouble than it's worth? |
Registered Rep.
May 1, 2005
Will Leitch |
So They've Got That Going for Them...Which Is Nice For all the problems it's been having in the last several months, Morgan Stanley can hang its hat on this good news: It is now the largest securities firm in the country. |
Wall Street & Technology
May 21, 2007
Greg MacSweeney |
20 Year Wall Street Data Veteran Roseann Palmieri Joins Merrill Lynch Palmieri's career -- including 10 years at Morgan Stanley, six years at Deutsche Bank and, most recently, four years at Bank of America Securities -- has touched almost every part of the data management business. |
Registered Rep.
April 1, 2005 |
By the Numbers CEO Pay Score Card: Merrill Lynch, Stanley O'Neal - $32 million... Goldman Sachs, Henry Paulson - $29.8 million... etc. |
Registered Rep.
February 13, 2006
Kristen French |
Merrill, BlackRock Deal Near Merrill Lynch is close to doing what Morgan Stanley could not: acquire a large stake in BlackRock, the stellar bond funds house, in a deal that would create a $1 trillion money manager. |
Registered Rep.
April 27, 2004
Will Leitch |
Morgan, Restructuring Its Asset Management Unit, Closes 13 Funds Morgan Stanley announced it was dissolving 13 of its proprietary funds as part of its attempts to "streamline" its business for affluent investors. |
Registered Rep.
October 1, 2006
Halah Touryalai |
Morgan Joins TRO Pact Morgan Stanley has officially opted to join the inter-brokerage pact, first created in the fall of 2004, which stipulates that members will not sue brokers departing to other firms when they try to take their clients with them. |
Registered Rep.
September 13, 2006
Halah Touryalai |
Morgan Joins Inter-Brokerage TRO Pact This firm has officially opted to join the inter-brokerage pact, which stipulates that members will not sue brokers departing to other firms when they try to take their clients with them -- as long as they are moving to another firm named in the pact. |
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
September 21, 2006
Ryan Fuhrmann |
Motley Fool Double Take: Morgan Stanley Bulges Forward Morgan Stanley reported another strong quarter, but has all the easy money in the stock now been made? |
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.
July 21, 2005
Kristen French |
On the Gossip Trail: Mack to Replace Schaefer--But With Whom? When Morgan Stanley announced that the head of its struggling retail brokerage unit was stepping down, Wall Street immediately began speculating about who will be chosen as his successor -- and what that successor might augur for the retail brokerage. |
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, 2007
Halah Touryalai |
Riding High It was a fine year for brokerage firms -- especially their stocks. No one came up bigger than Goldman Sachs and Morgan Stanley in terms of percentage gains. |
Registered Rep.
December 1, 2002
Ross Tucker |
Happy Holidays! You're Fired. The ax will fall at year's end for some 700 of 13,500 Morgan Stanley brokers. Some branches will be closed entirely. |
BusinessWeek
June 28, 2004
Emily Thornton |
Mutual Funds: The Cost Of Full Disclosure With Securities & Exchange Commission Chairman William H. Donaldson pushing for new rules aimed at providing greater safeguards for mutual-fund investors, brokerages worry that implementing them will cost billions of dollars. |
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. |
Registered Rep.
October 1, 2002
Rick Weinberg |
Morgan Stanley Boosts Pay for Fee Business Morgan Stanley unveiled a new compensation plan for brokers that rewards fee-based business and penalizes transactional business. |
Registered Rep.
May 1, 2005
Glenn Curtis |
The Purcell Discount Hovering at a recent $51.73 --- down from its all-time highs of $110 a share --- are Morgan Stanley common shares a buy? |
BusinessWeek
January 13, 2011
Michael J. Moore |
It's Showtime for Morgan Stanley Morgan Stanley failed to live up to expectations last year; CEO James Gorman doesn't want the losing streak to continue. |
Registered Rep.
March 23, 2006
Kristen French |
Merrill To Gorman: Quit Poaching Our Reps And BOMs Is James Gorman, the new head of retail at Morgan Stanley, brazenly poaching employees from his old firm, Merrill Lynch? A judge apparently thinks so. |
Registered Rep.
December 1, 2005
Kristen French |
Morgan Brokers Still Heading for Exits There has been a parade of top brokers who have left Morgan Stanley in recent months. The losses, which began under embattled former CEO Phil Purcell, have not abated since his replacement, John Mack, arrived in June. |
Registered Rep.
August 2, 2005
Kristen French |
Mack to Morgan Brokers: `Don't Kiss My Ass' For Morgan Stanley brokers, the kind of flattery that Philip Purcell seemed to demand during his tenure isn't going to work on John Mack. |
Registered Rep.
May 17, 2005
Kristen French |
Throwing Its Weight Around: Morgan Stanley Pulls Ads From Media That Cover Its Woes Is Morgan Stanley, the subject of almost daily news reports since March, trying to silence its critics? |
Registered Rep.
June 30, 2005
John Churchill |
Mack Back, Officially John Mack, former head of Morgan Stanley, returns hoping to quiet employee dissent and questions in the media about the firm's direction. |
Registered Rep.
February 1, 2003
Will Leitch |
NASD Investigates Potential Breakpoint Violations The confusing slew of regulations that have followed on the heels of the Sarbanes-Oxley Act has tapped a strange feeling in brokers: the fear of violating securities rules unwittingly. A recent investigation by the NASD shows their worries are not unfounded. |
BusinessWeek
March 21, 2005
Emily Thornton |
Phil Purcell's Credibility Crisis Investors want Morgan Stanley's chief to beef up weak businesses -- or dump them. |
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.
August 2, 2005
Kristen French |
Morgan Stanley Fined $6.1 Million for Fee-Based Brokerage Slip-Ups NASD's investigation showed that from January 2001 through December 2003, Morgan Stanley failed to establish and maintain a supervisory system to review and monitor its fee-based brokerage business. |
Registered Rep.
September 17, 2008
Geracioti & Touryalai |
Morgan And Wachovia? The need for the kind of capital offered by customer deposits apparently is driving securities firms into the arms of banks. |
Registered Rep.
December 21, 2005
Kristen French |
For Morgan Retail, Fourth Quarter a Mixed Bag; More Purcell Directors Resign Despite a number of changes made to improve corporate governance at Morgan Stanley early this year, the board has come in for plenty of heat. The firm continues to lose talent and is paying out the nose to bring on new top producers. |
Registered Rep.
March 30, 2006
Kristen French |
Gorman Unrestrained Morgan Stanley retail chief James Gorman was freed by a New York State judge of the temporary restraining order that prevented him from raiding Merrill Lynch's brokerage ranks. |
Registered Rep.
March 1, 2007 |
Gorman Gets It An interview with Morgan Stanley's James Gorman about the improvement in morale at the firm, what it took to get brokers turned around, what he still needs to accomplish and how Morgan is different from the rest of its Wall Street peers. |
The Motley Fool
June 22, 2004
Roger Nusbaum |
The House of Morgan Stanley Morgan Stanley has had its fair share of wrongdoing, but despite its warts, the brokerage firm should continue to thrive. |
Registered Rep.
May 10, 2005
Kristen French |
Purcell Takes Stage, Tries to Rally Support Morgan Stanley's embattled CEO Philip Purcell tried to shore up shareholder support and squelch the almost daily flood of media speculation over the firm's future. But were shareholders convinced? |
Registered Rep.
March 1, 2007 |
Blotter SEC Front Running Probe... NASD Fines Bank of America... |
