
James Blake
As Morgan Stanley Financial Advisors, we combine our own talents and experience with the vast resources of a global financial services firm to help address the planning, governance, liability management and investing needs of ultra-high net worth families, their businesses and philanthropic enterprises. We take a holistic approach that is grounded in investment strategy covering virtually every aspect of your financial life: risk management, liabilities, trusts and estate structures and even family dynamics and lifestyle management issues. Our goal is to help preserve and grow your financial, family and social capital so that it can meet your needs, and have the greatest positive impact today and for generations to come.
We welcome you to consider The Blake Group at Morgan Stanley and discuss the resources we can deliver for you and your family.
Capabilities:
Disclosures:
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates. Individuals executing a 10b5-1 trading plan should keep the following important considerations in mind:
10b5-1 trading plans should be approved by the compliance officer or general counsel of the individual's company. (2) A 10b5-1 trading plan may require a cessation of trading activities at times when lockups may be necessary to the company (i.e., secondary offerings, pooling transactions, etc.). (3) A 10b5-1 trading plan does not generally alter the restricted stock or other regulatory requirements (e.g., Rule 144, Section 16, Section 13) that may otherwise be applicable. (4) 10b5-1 trading plans that are modified or terminated early may weaken or cause the individual to lose the benefit of the affirmative defense. (5) Public disclosure of 10b5-1 trading plans (e.g., via press release) may be appropriate for some individuals. (6) Most companies will permit 10b5-1 trading plans to be entered into only during open window periods. (7) Morgan Stanley, as well as some issuers, imposes a mandatory waiting period between the execution of a 10b5-1 trading plan and the first sale pursuant to the plan.
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