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Search resuls for: "Saeed Azhar Chris Prentice"


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☆ Two equity bankers lose their Morgan Stanley broker licenses - U.S. regulator
  + stars: | 2022-12-21 | by ( Saeed Azhar Chris Prentice | Saeed Azhar | Chris Prentice | ) www.reuters.com   time to read: +2 min
NEW YORK, Dec 20 (Reuters) - Two Morgan Stanley (MS.N) equity syndicate bankers, Pawan Passi and Charles Leisure, are no longer listed as registered brokers at the Wall Street firm, according to industry regulator FINRA's website. His FINRA profile includes a disclosure about a pending customer dispute that alleges "misrepresentation with respect to block trading" in 2021. The broker registration for Leisure, an executive director, also ended Dec. 16, his FINRA profile showed. Arnaud Blanchard became the head of the equity syndicate desk in New York earlier this year, according to his LinkedIn profile. Morgan Stanley in February disclosed that U.S. regulators and prosecutors were probing various aspects of the investment bank's block trading business.
☆ Two equity bankers lose their Morgan Stanley broker licenses -regulator
  + stars: | 2022-12-21 | by ( Saeed Azhar Chris Prentice | Saeed Azhar | Chris Prentice | ) www.reuters.com   time to read: +2 min
NEW YORK, Dec 20 (Reuters) - Two Morgan Stanley (MS.N) equity syndicate bankers, Pawan Passi and Charles Leisure, are no longer listed as registered brokers at the Wall Street firm, according to industry regulator FINRA's website. His FINRA profile includes a disclosure about a pending customer dispute that alleges "misrepresentation with respect to block trading" in 2021. The broker registration for Leisure, an executive director, also ended Dec. 16, his FINRA profile showed. Arnaud Blanchard became the head of the equity syndicate desk in New York earlier this year, according to his LinkedIn profile. Morgan Stanley in February disclosed that U.S. regulators and prosecutors were probing various aspects of the investment bank's block trading business.
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