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17 Nov 2022, 11:20 am
Life Music Inc, representing songwriters Gloria Parker and Barney Young, filed a lawsuit against Disney and others involved in the film alleging that the Disney version of Supercalifragilisticexpialidocious violated the copyright of their 1951 song Supercalafajalistickespeealadojus. [read post]
8 Oct 2022, 5:44 pm
Recalled products: BrandProductSizeUPCCodesAcadian Gold OystersChoice Oysters50 piecesNoneHarvested: 2022/09/08Packed: 2022/09/08Harvest Zone: MS-0370/NB5GAcadian Pearl OystersCocktail Oysters24 piecesNoneHarvested: 2022/09/08Packed: 2022/09/09Harvest Zone: MS-0370/NB5GPlant Code: 6009ssBaccaratCocktail Oysters50 piecesVariousHarvested: 2022/09/08Packed: 2022/09/09Harvest Zone: MS-0370/NB5GPlant Code: 6009ssCapitaine Barney OystersJewel Oysters with Firebarns brand Tequila Lime… [read post]
6 Oct 2022, 5:29 am
According to court documents, Good was employed as a registered representative and investment advisor for Morgan Stanley Smith Barney, LLC in Wilmington. [read post]
5 Oct 2022, 5:20 pm
” Barney argued that the court, in United States v. [read post]
5 Oct 2022, 12:06 pm
Recalled products: BrandProductSizeUPCCodesAcadian Gold OystersChoice Oysters50 piecesNoneHarvested: 2022/09/08Packed: 2022/09/08Harvest Zone: MS-0370/NB5GAcadian Pearl OystersCocktail Oysters24 piecesNoneHarvested: 2022/09/08Packed: 2022/09/09Harvest Zone: MS-0370/NB5GPlant Code: 6009ssBaccaratCocktail Oysters50 piecesVariousHarvested: 2022/09/08Packed: 2022/09/09Harvest Zone: MS-0370/NB5GPlant Code: 6009ssCapitaine Barney OystersJewel Oysters with Firebarns brand Tequila Lime… [read post]
1 Oct 2022, 8:14 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Good was employed by Morgan Stanley Smith Barney, LLC (Morgan Stanley) at the time of the activity. [read post]
28 Sep 2022, 12:37 pm
LLC and Morgan Stanley Smith Barney LLC; UBS Securities LLC and UBS Financial Services Inc. [read post]
28 Sep 2022, 11:14 am
Recalled products: BrandProductSizeUPCCodesAcadian Gold OystersChoice Oysters50 piecesNoneHarvested: 2022/09/08Packed: 2022/09/08Harvest Zone: MS-0370/NB5GAcadian Pearl OystersCocktail Oysters24 piecesNoneHarvested: 2022/09/08Packed: 2022/09/09Harvest Zone: MS-0370/NB5GPlant Code: 6009ssBaccaratCocktail Oysters50 piecesVariousHarvested: 2022/09/08Packed: 2022/09/09Harvest Zone: MS-0370/NB5GPlant Code: 6009ssCapitaine Barney OystersJewel Oysters with Firebarns brand Tequila Lime Hot… [read post]
28 Sep 2022, 8:06 am
LLC together with Morgan Stanley Smith Barney LLC; andUBS Securities LLC together with UBS Financial Services Inc.The following two firms have agreed to pay penalties of $50 million each:Jefferies LLC; andNomura Securities International, Inc.Cantor Fitzgerald & Co. has agreed to pay a $10 million penalty. [read post]
26 Sep 2022, 8:00 am
On September 20, 2022, the SEC fined financial services giant Morgan Stanley Smith Barney (“MSSB”) $35 million for failing to adequately protect its customer’s records and personal identifying information (“PII”). [1] The fine was entered via a settlement between the SEC and MSSB, through which MSSB has agreed to pay a civil penalty for the SEC’s charges without admitting to nor denying the violations. [2] MSSB is a subsidiary of Morgan Stanley and… [read post]
22 Sep 2022, 9:23 am
Worden Capital Management LLC Steven Wyatt Morgan Stanley Smith Barney Morgan Stanley & Co, Incorporated Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
20 Sep 2022, 12:11 pm
Via Matt Levine, I learn of a SEC complaint against MorganStanley Smith Barney (MSSB): The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately 15 million customers. [read post]
20 Sep 2022, 11:02 am
” Morgan Stanley Smith Barney reportedly consented to the SEC’s order finding that the firm violated the Safeguards and Disposal Rules under Regulation S-P and agreed to pay the penalty, without admitting or denying its findings. [read post]
20 Sep 2022, 4:05 am
The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately…Read the Full Press ReleaseHave a securities law question? [read post]
17 Sep 2022, 9:15 am
SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman (BrokeAndBroker.com Blog)Area man who claimed to be African prince convicted by jury of several fraud crimes (DOJ Release)Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers (SEC Release)Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering / Crypto Asset Promoter Ian Balina Charged for Touting Tokens… [read post]
14 Sep 2022, 7:45 am
[Jack Goldsmith and I will have an article out about the Dormant Commerce Clause, geolocation, and state regulations of Internet transactions in the Texas Law Review early next year, and I'm serializing it here. [read post]
13 Sep 2022, 5:32 am
Salomon Smith Barney, Inc., 45 Cal. [read post]
7 Sep 2022, 5:23 am
[Jack Goldsmith and I will have this article out in the Texas Law Review early next year, and I'm serializing it here. [read post]
30 Aug 2022, 5:13 am
Barney, Ltd. [read post]
28 Aug 2022, 9:45 am
From March 1994 through September 1997, Serizawa was registered with Smith Barney Incorporated. [read post]
