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Registered Rep.
June 22, 2011
Charlie Paikert |
Morgan Keegan On The Block After Regions Settles Fraud Charges Morgan Keegan may soon be for sale after agreeing to a $210 million settlement with federal, state and industry regulators over issues related to subprime mortgage-backed securities.   |
Registered Rep.
March 25, 2009
John Aidan Byrne |
McCarver Wins Award for Losses in Morgan Keegan Funds The baseball broadcaster sought $1.6 million in compensation for losses to his mutual and open-end funds. |
Registered Rep.
February 15, 2012
Diana Britton |
More Advisors Fleeing Morgan Keegan Morgan Keegan has lost seven financial advisors since December, FINRA filings show. They follow some 190 other advisors who fled over the past six months. |
Registered Rep.
October 8, 2008 |
Bank of America Reaches Second Settlement To Buy Back ARS The agreement closely mirrors the firm's earlier settlement with the Massachusetts Securities Division that was announced in September, 2008. |
Registered Rep.
July 15, 2009
David A. Geracioti |
SEC Hits Morgan Keegan With Wells Notice A Wells notice states that the SEC intends to bring enforcement actions for possible violations of federal securities laws. |
Registered Rep.
August 1, 2005
Bill Singer |
The High Price of Foot Dragging Contesting arbitrations is often a smart move -- especially for financial reps who believe they were unjustly accused or that the settlement demanded by the customer is excessive. |
Registered Rep.
April 2, 2012
Diana Britton |
It's Official: Morgan Keegan Advisors Now Work for Raymond James The next step in the integration process will be to roll out Raymond James' products and services to Morgan Keegan advisors. |
The Motley Fool
January 11, 2012
Shubh Datta |
Region Financial's Morgan Keegan May Finally Be Sold Regions hopes to sell Morgan Keegan by next week. |
BusinessWeek
August 16, 2004
Emily Thornton |
The Brokers Strike Back Wall Street to investors: Beware of suing your brokers -- they might just sue you back. |
Registered Rep.
June 29, 2011
Kristen French |
Raymond James Hit With $300 million ARS Settlement; Pay Back For All ARS Clients The company has agreed to a multi-state settlement that will require the firm to buy back $300 million in auction rate securities it sold to clients prior to the collapse of the ARS market in February of 2008. |
On Wall Street
October 1, 2012
Lorie Konish |
Settlement May Not End Merrill Lynch's Deferred Compensation Woes Exemptions and the chance to opt out have lawyers predicting the $40 million proposed deferred compensation plan settlement will not cease litigation against Merrill Lynch. |
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. |
On Wall Street
August 1, 2009
Helen Kearney |
Death Knell for Mandatory Arbitration The meltdown on Wall Street, along with the raft of Ponzi schemes, have created a renewed regulatory zeal on the part of the government towards financial advisors. This all begs a major question: Is this the end of mandatory arbitration? |
Registered Rep.
August 16, 2006
Karen Donovan |
Put It in Writing: Investors Want Arbitrators to Explain Their Awards Lawyers who represent investors in securities arbitrations hope that a proposed NASD rule -- which would give them the option of demanding written explanations from arbitration panels that hear their disputes against brokerage houses -- will take effect soon. |
On Wall Street
April 1, 2013
Mason Braswell |
Raymond James' New Breed Pushes Ahead After Morgan Keegan Acquisition The acquisition of Morgan Keegan added hundreds to Raymond James wealth management ranks one year ago. Branch Manager Robert Brewer reveals how he made the transition. |
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. |
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.
May 1, 2006
French & Palmer |
The Argument Over Arbitration While investment-related arbitrations are supposed to be cheaper and more expeditious than trials in civil court, many say that these advantages have diminished in recent years, and that all too often the proceedings just look like outtakes from The Gong Show. Is there a better way? |
On Wall Street
September 1, 2010
Alan J. Foxman |
Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more... |
Registered Rep.
December 29, 2009
Halah Touryalai |
Principal-Protected Notes Not So Protected, FINRA Says. In a regulatory notice this month, FINRA warned firms offering structured products not to overstate their level of protection or their potential returns. |
Registered Rep.
May 13, 2011
Bill Singer |
Blaming, Naming, and FINRA Gaming Suppose that an unhappy investor didn't specifically name you in a lawsuit or arbitration when he complained about your investing advice. You'd think that would get you off the regulatory disclosure hook, right? Think again. |
Registered Rep.
January 8, 2009 |
Motion To Dismiss In Arbitration? Not So Fast. Firms and advisors facing disputes in arbitration will have a tougher time getting the case dismissed thanks to a new dispute resolution rule, FINRA announced today. |
BusinessWeek
August 13, 2007
Lewis Braham |
Want To Take On Your Broker? Investors' odds have shrunk in recent years. Even if you win, don't expect a windfall. |
Registered Rep.
September 25, 2007
Karen Donovan |
Expunging Customer Complaints Is Too Easy . . . So Say Client Lawyers The lobbying group of lawyers who represent customers in disputes with their brokers is calling on FINRA and the SEC to "immediately halt" the practice that allows arbitration panels to expunge customer complaints from a rep's record. |
Registered Rep.
March 16, 2007
Halah Touryalai |
900 Down, Only a Handful to Go--Merrill Pays One More Female Broker; Separately, Thousands of Female Morgan Stanley Reps May Settle One of the last claimants from the 1997 class-action discrimination lawsuit against Merrill Lynch collected her reward late last month. Separately, Morgan Stanley has confirmed that it settled with over 3,000 claimants but would not comment further. |
On Wall Street
June 1, 2013
Alan J. Foxman |
When Settling a Suit Makes Sense Our legal expert discusses when settling an arbitration case saves time and money. |
Registered Rep.
January 1, 2007
Karen Donovan |
Fix Arbitration Now Here are three problems that lawyers who struggle with the securities industry's arbitration system say they confront on a routine basis. For the most part, the lawyers for customers and those who represent the industry have radically different views on how to fix the system. |
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. |
On Wall Street
October 1, 2013 |
Five Questions with A. Heath Abshure A. Heath Abshure, the outgoing president of the North American Securities Administrators Association discusses his tenure. |
On Wall Street
February 1, 2012
Konish & McMorris |
Raymond James Rising Raymond James & Associates struck a deal with Regions Financial to buy its Memphis-based Morgan Keegan unit for $930 million. |
Investment Advisor
September 2009
Thomas D. Giachetti |
Expert's Corner: It Beats Getting Sued What every investment advisor should know about securities arbitration. |
On Wall Street
March 1, 2011
Lorie Konish |
All-Public Panels Approved For Arbitrations The move may be hailed by investor groups, but other industry experts are criticizing the Securities and Exchange Commission's recent approval of a rule change that allows for the option of all-public panels in FINRA arbitrations. |
On Wall Street
April 1, 2013
Lorie Konish |
Editor's Letter: Transition at Raymond James A run-down of the stories in this issue, including a discussion of the year following the Raymond James merger with Morgan Keegan. |
On Wall Street
May 1, 2010
Alan J. Foxman |
Do You Always Have A Right To An Attorney In Arbitration? Q&A: Rights to attorneys in arbitration... Is giving the client a bond's rating enough when it comes to disclosing risks?... |
The Motley Fool
October 12, 2010
Matt Koppenheffer |
YRC Worldwide Shares Plunged: What You Need to Know Shares of trucker YRC Worldwide were down more than 10% in intraday trading -- yes, again -- after a very pessimistic report from a Morgan Keegan analyst. |
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.
January 2, 2013
Megan Leonhardt |
Blotter: January 2013 FINRA slapped a Pennsylvania advisor with a complaint in December after he allegedly forged client signatures to funnel client assets from one account to another, culminating in personal withdrawals of over $250,000. |
Investment Advisor
December 2007
Thomas D. Giachetti |
Use Them, but Carefully By all means, place arbitration clauses in IA contracts, but do it right. |
On Wall Street
July 1, 2009
Alan Foxman |
Expunged Arrest from Past Still Haunts Advisor Readers questions regarding expunged arrest, private placements, and arbitration actions against advisors are answered. |
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.
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. |
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. |
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. |
On Wall Street
November 1, 2011
Lorie Konish |
A Foreign Investor Fights To Go To FINRA Arbitration A federal lawsuit recently filed by Citigroup Global Markets Inc. against a set of Saudi family investors with a $383 million claim against the firm will determine whether that case can proceed to arbitration. |
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.
December 1, 2004 |
The Promise Keepers Is arbitration the answer to this broker's woe?... Should a former employer pay defense costs for broker being sued while employed with that firm?... |
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
June 3, 2009
Rich Smith |
This Just In: Upgrades and Downgrades Wall Street stock shop Morgan Keegan initiated coverage on a pair of defense picks -- Lockheed Martin and General Dynamics -- saying each is destined to "outperform" the market. |
BusinessWeek
July 2, 2008
Mara Der Hovanesian |
Ruined by 401(k) Predators Retirees with plump nest eggs can be targets for unscrupulous financial advisers who rake in hefty fees with promises of huge returns. |
Registered Rep.
February 24, 2012
Diana Britton |
Some Morgan Keegan FAs Eager for Raymond James' Social Media Tools For some Morgan Keegan advisors, Raymond James is dangling a fairly tasty technological carrot: Immediate access to an advanced social media content, archiving and distribution platform. |
