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17 Apr 6:36 pm
... award to be vacated because he claims that: • The promissory note was a forgivable lone. • He was misled about repayment requirements. • Smith Barney sought repayment because
the broker's departure caused the branch manager's end of the year bonus to go ... from commissions through Elam's previous clients. According to Nowak, Citigroup Global Markets
Holdings Inc. and Citigroup Global Markets Inc. (as Smith Barney) had asked for confirmation
of the award against Elam for the 2004 note he defaulted ...
11 Mar, 2008 1:31 pm
... thing over and over again and expecting different results." By this measure, Smith Barney has a problem. In a recent case decided by Judge Gants in the Suffolk Business
Litigation ... major brokerage firms: Morgan Stanley DW, Inc., the plaintiff here; UBS PaineWebber , UBS, and Salomon Smith Barney
("SSB"). These three major brokerage ... preliminary injunction denied. Perhaps after this decision Morgan Stanley, Salamon Smith Barney and UBS Paine Webber will reflect on
Einstein's comment quoted above, ...
12 Jun 9:43 am
The joint venture announced by Morgan Stanley in January to take 51% control of Citigroup Inc.'s Smith Barney brokerage unit was
completed last week on June 1. The $2.75 billion joint venture creates the biggest retail brokerage firm on Wall Street. With a ... bring in $14 billion annually and Morgan Stanley has
the option to purchase the remainder of Smith Barney from Citigroup over five years. A recent advertisement in The Wall Street Journal suggests that things will be ...
24 Jul, 2007 4:46 pm
... and record-keeping violations. The firm agreed to the sanctions without admitting or denying the charges. The Smith Barney unit of Citigroup Global Markets Inc. will pay a fine of $10 million to the NYSE, and a fine of $5 million to the State ... An additional $35 million will be paid into a restitution fund to
compensate victims. The NYSE regulators say Smith Barney agreed to these huge sanctions to resolve charges related to a variety of fraudulent trading activities, including
excessive trading, ...
24 Jul, 2007 11:37 am
... , www.dhayeslaw.com Scandals involving deceptive market timing are in todays headlines. The New York Stock Exchange hit Smith Barney with a $50 million fine for charges
centered around market timing activities. (NYSE News Release: NYSE Regulation Fines ... Market Timing of Mutual Funds by Brokers, July 24, 2007). [www.nyse.com]. The NYSE said that the
Smith Barney Division of Citigroup Global Markets, Inc. failed to supervise branch offices and financial consultants "who engaged in
market timing, ...
15 Jun 5:25 pm
In Smith Barney, Inc. v. Darling, No. 09-C-540, 2009 WL 1544756 (E.D. Wis. Jun. 3, 2009), the United States District ... ; Co. - about
whose existence the departing employees learned during their employment with Smith Barney. The Court went on to conclude that additional non-solicitation covenants in various
agreements with the five ... unenforceable because they covered customers that did not do business with Smith Barney and/or with whom the departing employees had not had contact
in years. Because ...
8 Apr, 2008 12:30 pm
... Jersey's wage-and-hour law. A class action brought by two Smith Barney brokers, Melvin Rosen and James Fox, alleges that the plan penalizes participants who ... public policy
underlying the state's wage-and-hour law. In 1989, Smith Barney Inc. instituted the plan because of high stockbroker turnover. Brokers
could elect to ... null and void even if the employee joined voluntarily. Counsel for Smith Barney argued that the employee participants were sophisticated people who voluntarily
joined the plan. He ...
1 May, 2007 11:32 pm
... See, e.g., Kasap v. Folger Nolan Fleming & Douglas, Inc., 166 F.3d 1243, 1246 (D.C.Cir.1999) (noting ... rules for determining federal
question jurisdiction, we find that interpretation unpersuasive"); Smith Barney, Inc. v. Sarver, 108 F.3d 92, 94 (6th Cir ... federal
nature of the underlying claims that were submitted to arbitration. The rights asserted by Smith Barney in this case are based simply on an interpretation of the contract to
arbitrate, as opposed to the actual merits of the underlying ...
7 Jun, 2007 10:25 pm
... See, e.g., Kasap v. Folger Nolan Fleming & Douglas, Inc., 166 F.3d 1243, 1246 (D.C.Cir.1999) (noting ... rules for determining federal
question jurisdiction, we find that interpretation unpersuasive"); Smith Barney, Inc. v. Sarver, 108 F.3d 92, 94 (6th Cir ... federal
nature of the underlying claims that were submitted to arbitration. The rights asserted by Smith Barney in this case are based simply on an interpretation of the contract to
arbitrate, as opposed to the actual merits of the underlying ...
17 May, 2008 5:30 pm
... ? Probably enough to leave no piece of the apple to the plaintiffs. In Re McAllen Medical Center, Inc., No. 05-0892 (Tex. May 16, 2008)
(Majority Opinion by Scott Brister)(mandamus ... The Culls, Lemon Home Owners, two weeks ago) In Re CitiGroup Global Markets, Inc., No. 06-0886
(Tex. May 16, 200)(per curiam)(arbitration compelled, no ... right to arbitrate found) IN RE CITIGROUP GLOBAL MARKETS, INC. (F/K/A SALOMON
SMITH BARNEY, INC.), CITIGROUP, INC., AND STACY OELSEN; from Dallas County; 5th district ( ...
31 Oct 6:50 am
... stay or recoup certain incentive bonus payments and retention payments made by American International Group, Inc." [16] The House also took
more strident measures, seeking to recoup the money through a 90% ... Group Inc., General Motors Co., Chrysler Corp., Chrysler Financial, and
GMAC Financial Services Inc.). (go back) [12] Pub. L. No. 111-5, supra note 10, § 7001( ... [49] See, e.g., Harris Trust & Sav. Bank v.
Salomon Smith Barney, Inc., 530 U.S. 238, 250 (2000) (citing 1 Dobbs, Law Of Remedies ...
2 Apr 8:36 am
A legal question that recently circulated on the defense counsel listserv for the Product Liability Advisory Council, Inc. ("PLAC") drew a lot
of attention, and thus strikes us as a good subject of ... to order disclosure of similar complaint list from governmental entity). In Kase v. Salomon Smith-Barney,
Inc., 218 F.R.D. 149 (S.D. Tex. 2003), the ... a less restrictive option to outright refusal to allow any discovery considered in CSC Holdings,
Inc. v. Redisi, 309 F.3d 988, 996 (7th Cir. 2002) ("the ...
17 Dec, 2006 3:57 pm
... unless it complies with California's privacy laws. Those laws require all parties to consent to such a recording. In Kearney v. Salomon Smith Barney, Inc. (2006), two California employees of WorldCom filed a class action lawsuit against the brokerage firm Salomon Smith Barney ("SSB") whose Atlanta,
Georgia, office handled financial matters for WorldCom employees. The California WorldCom employees claimed that SSB secretly recorded their ...
8 Nov, 2008 1:48 am
... the misstatement is material. Plaintiffs alleged that an influential research analyst, Jack Grubman, employed by Salomon Smith Barney, Inc. (SSB), issued reports containing false and misleading information about Metromedia Fiber Network (Metromedia). ... stated that Metromedia had obtained a
$350 million commitment for a fully underwritten credit facility from Citicorp USA, Inc., an SSB affiliate, and that Metromedia expected the
facility to fully fund its business plan. The reports failed to ...
8 Nov, 2008 1:48 am
... the misstatement is material. Plaintiffs alleged that an influential research analyst, Jack Grubman, employed by Salomon Smith Barney, Inc. (SSB), issued reports containing false and misleading information about Metromedia Fiber Network (Metromedia). ... stated that Metromedia had obtained a
$350 million commitment for a fully underwritten credit facility from Citicorp USA, Inc., an SSB affiliate, and that Metromedia expected the
facility to fully fund its business plan. The reports failed to ...
5 Dec, 2007 7:24 am
Per Betz v. Trainer Wortham & Co., Inc., 504 F.3d 1017 (9th Cir. Oct. 04, 2007): We have held that the statute of limitations for a federal
securities fraud claim begins to run ... notice of those facts, triggers the running of the statute of limitations for a § 10(b) claim. See Berry v. Valence Tech., Inc., 175 F.3d 699, 704 (9th Cir.1999); see also Livid Holdings Ltd. v. Salomon Smith Barney, Inc., 416 F.3d
940, 951 (9th Cir.2005). The uncertainty introduced by our opinion in Berry led us to ...
29 Mar, 2007 5:51 am
... the federal Securities Litigation Uniform Standards Act (SLUSA), but granted leave to amend with respect to two of the federal claims in the class action complaint. Id. Relying on
Rowinski v. Salomon Smith Barney Inc., 398 F.3d 294 (3d Cir.2005), defense attorneys sought reconsideration on the ground ... action
complaint contained state and federal law claims. Relying on Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Dabit, ___ U.S. ___, 126 S.Ct.
1503, 1514 (2006), which ...
29 Jan, 2008 6:00 am
... the class action device in both federal and state courts. (See Merrill Lynch, Pierce, Fenner & Smith Inc. v. Dabit (2006) 547 U.S. 71,
87 [164 L.Ed.2d 179, 193, 126 S. ... and conflicts of interests, and that these omissions caused injury to the plaintiffs. .... Further, each of the six causes of action hinges on harm
caused by the Bank's misrepresentations. (See Rowinski v. Salomon Smith Barney Inc. (3d Cir. 2005) 398 F.3d 294, 300 [misrepresentation
prong was satisfied where the allegations of ...
20 Nov 6:16 am
... Committee independence. Currently, "say on pay" and Compensation Committee independence are key provisions of legislation proposed by Representative Barney Frank, D-MA, as
part of the Corporate and Financial Institution Compensation Fairness Act of 2009 (CFICFA). A ... To date in 2009, approximately 24 non-TARP companies, including Intel Corporation,
Verizon Communications Inc., Motorola, Inc. and Blockbuster, Inc., have also conducted "say on pay" votes. Results have been tracked for 127 companies ...
24 Sep 1:15 pm
... simplified its business in the last year by shutting down several catalogs, Figure magazine, and shoetrader.com. Quiksilver Inc., the
youth-oriented apparel company with a focus on surf culture, which includes the Quiksilver, Roxy, and DC brands, ... on the strength of their reputation and past performance. At the
same time, other luminous names, such as Barneys, struggle to find solid ground in this time of crisis. It is difficult to distinguish patterns
or indicators that suggest whether a firm ...
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