ADVERTISEMENT

Home -> Law Blog Directory -> Academic Blogs -> Securities Law Prof Blog

OR PHONE (866) 635-1838 for Bankruptcy Help, (866) 635-6190 for Divorce,
(866) 635-2689 for Personal Injury or (866) 635-9402 for Criminal Defense

Find a Local Lawyer

Bankruptcy (866) 635-1838
Divorce (866) 635-6190
Personal Injury (866) 635-2689
Criminal Defense (866) 635-9402

Academic

: Securities Law Prof Blog

FINRA Fines Morgan Stanley for Improper Retirement Advice to Kodak and Xerox Employees

By Securites Lawprof

ADVERTISEMENTS

FINRA announced that it fined Morgan Stanley & Co. $3 million ? and ordered it to pay more than $4.2 million in restitution to 90 Rochester, NY-area retirees ? to resolve charges that its supervisory system failed to detect and...

Full post as published by Securities Law Prof Blog on March 25, 2009 (boomark / email).

Related Law Articles

Employee Lawsuits: Negligent Hiring and Retention
Employers must check references, criminal records, other background material.

ERISA Pension Benefits after Termination
Employee Retirement Income Security Act of 1974

Traditional and Roth 401Ks
Selecting the right Retirement Plan

H&R Block Retirement Plan Fraud
How to Join Class Action Suit

Lawsuits and Settlements

Morgan Stanley Capital
401(k) / ERISA Stock Fraud

Stock Market Losses
alleging bad financial advice and conflicts of interest.

Morgan Drexen Faces Potential Federal Class Action
Morgan Drexan FAces Potential Class Action

Overtime for Programmers
alleging that some companies try to avoid paying employees overtime by categorizing them as "salaried" employees.

Kodak
Settles Race Discrimination Class Action for $21 Million

Tentative $21M Settlement Agreed in Eastman Kodak Discrimination Class Action
Tentative $21M Settlement Agreed in Eastman Kodak Discrimination Class Action>

Related Searches

US Law

#1 Online Legal Resource

Ask Legal Questions

US Law Directory

Class Action Lawsuits

Celebrity Justice

OJ Simpson

VIDEO: NYPD rendering first aid to Empire State Building shooter
On 08-25 at 15:46PM

Acute perpendicular parking #NYPD #NYFD
On 08-18 at 22:18PM

Parallel parking gone bad. Too much gas UES NYC
On 08-18 at 21:41PM

UES NYC
On 08-18 at 21:25PM

Twitter suspends journalist critical of broadcast partner's coverage on dubious grounds @guyadams #nbcfail #twitterfail
On 07-30 at 17:57PM

Model example of 1st Amendment suppression by the People of New York City's Michael Bloomberg #OWS #NYPD
On 07-12 at 21:07PM

AG Holder lackadaisical on Operation in our Sites domain name seizures & RIAA lobbied free speech suppression @dajaz1
On 06-08 at 22:44PM

Why is the Catholic Church going to court over Obama contraception policy? @NewYorker commentary
On 05-31 at 10:08AM

Monks sue Louisiana for right to sell caskets made from forrest destroyed by Katrina
On 05-31 at 07:47AM

Are the abortion ultrasound laws headed for the Supreme Court?
On 05-15 at 21:52PM

FOLLOW USLaw.com ON TWITTER

Custom Legal Documents

Your Blog Subscriptions Subscribe to blogs

10,000+ Law Job Listings
Lawyer . Police . Paralegal . Etc

Earn a law-related degree

Are you the author of this blog? Adding USLaw.com to your Blogroll increases relevance. You qualify to display a USLaw Network badge.

Suggest changes to this blog's description or nominate another for inclusion. Register for updates.

Morgan Stanley Fined For Hiding Emails.

FINRA Fines J. P. Morgan Securities $500,000

Doctrinal Cross-Dressing in Derivative Aftermarkets: Kodak, Xerox and the Copycat Game

Morgan Stanley, GE Seek Renewal of Tax Break on Repatriation of Foreign Earnings

Is Morgan Stanley Next

FINRA, Formerly NASD, Gets Serious About Enforcing Fines

0.0127 secs (new cache)