FINRA Fines Morgan Stanley Smith Barney LLC $5,000,000 for Supervisory Failures Related to Sales of Shares in 83 Initial Public Offerings to Retail Customers

Author: LPclient

Morgan Stanley settled with FINRA and neither admitted nor denied the charges, but consented to the entry of FINRA’s findings that Morgan Stanley had supervisory failures concerning the solicitations of 83 Initial Public Offerings (IPOs) of stock, including Facebook and Yelp,¬†from February 16, 2012, to May 1, 2013. http://www.finra.org/Newsroom/NewsReleases/2014/P498150 For a free case evaluation or… Read more »

Securities Investigation: FriendFinder Network, Inc. (NasdaqGM: FFN ) – The Securities Law Firm of Menzer & Hill, P.A. Announces Investigation of Ladenburg Thalman Financial Services (AMEX: LTS ) and Imperial Capital LLC, relating to the disclosures made in the solicitation of the Initial Public Offering of FriendFinder Network, Inc.

Author: Michael Hill

July 1, 2011, The Securities Law Firm of Menzer & Hill, P.A. www.suemyadvisor.com, announced today an investigation into the sales practices of Ladenburg Thalman Financial Services Inc., its subsidiaries: Investacorp Inc. and Triad Advisors, Inc. as well as Imperial Capital LLC.¬† The investigation relates to the disclosures made to investors related to the risks involved… Read more »