The White Law Group

Morgan Stanley Promissory Note
Tag Archive

• FINRA Awards regarding Financial Advisor Promissory Notes

  May 1, 2014 Comments (0) Blog, Securities Fraud

  Promissory Notes (often called up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley Smith Barney, Banc of America Investment Services, Wells Fargo, Merrill Lynch, Ameriprise , and UBS Financial Services. Essentially,

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• Slow Transfer Year in Securities Industry

  April 8, 2011 Comments (0) Blog, Securities Fraud

  According to the InvestmentNewsAdvisers on the Move database, the wealth management division of UBS Financial Services Inc. added the most new advisers (74) and the greatest amount of assets ($11.6 billion) among firms in the database — this despite persistent rumors the division might be sold. UBS Financial also

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• Morgan Stanley Smith Barney to lay off trainees and low producing Financial Advisors

  March 10, 2011 Comments (0) Blog, Securities Fraud

  According to the Investment News, Morgan Stanley Smith Barney, the largest brokerage in the United States, will lay off between 200 to 300 adviser trainees and low volume producers in the firm’s advisory force by the end of the month. Another source from Morgan Stanley confirmed the story, but added that the

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• Financial Advisor Promissory Note Securities Litigation Representation

  

  June 23, 2010 Comments (2) Blog, Securities Fraud

    Promissory Note Disputes The White Law Group continues to represent financial advisors in Promissory Note disputes and claims related to the financial advisors prior employment. Promissory Notes (often called up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms

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