Search for: "MORGAN STANLEY SMITH BARNEY"
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28 Aug 2012, 3:15 pm
Morgan Stanley and Citigroup have agreed to give a third party more time to appraise the value of their brokerage joint venture and settle a dispute between the two financial firms. [read post]
30 Mar 2012, 3:48 pm
The largest fund by assets, Morgan Stanley Smith Barney Spectrum Select LP, faced $55.2 million in redemptions and lost $67.9 million. [read post]
16 Mar 2017, 11:07 am
The Securities and Exchange Commission (SEC) announced Feb. 14, 2017 that Morgan Stanley Smith Barney will pay $8 million and admit wrongdoing after allegations related to single inverse ETF (exchange –traded fund) investments it recommended to advisory clients. [read post]
20 Sep 2016, 12:00 am
The SEC announced in a press release dated June 8, 2016 that Morgan Stanley Smith Barney, LLC has agreed to pay a $1 million penalty to settle charges relating to alleged failures to protect confidential customer information. [read post]
13 Jul 2018, 6:48 am
If you have questions or concerns regarding investments made with Barry Connell and Morgan Stanley Smith Barney, the securities attorneys of The White Law Group may be able to help. [read post]
11 Nov 2011, 5:40 am
The Financial Industry Regulatory Authority (FINRA) has fined Morgan Stanley Smith Barney (Morgan Stanley) $1 million and ordered restitution for excessive markups and markdowns charged to customers on bond transactions. [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]
4 Dec 2017, 4:03 pm
On September 25, 2017, the Financial Industry Regulatory Authority (“FINRA”) issued a fine of $3.25 million against Morgan Stanley Smith Barney LLC (“Morgan Stanley”) in connection with the brokerage firm’s alleged failure to supervise its brokers’ short-term trades of unit investment trusts. [read post]
20 May 2013, 4:34 am
From the opinion: Plaintiff, in opposition to being compelled to arbitrate its claims against Morgan Stanley Smith Barney, contends that Defendant Cypress, as the main co-conspirator in embezzling and misappropriating millions of dollars of the Miccosukee Tribe’s funds for his personal gain, was without authority to bind the Miccosukee Tribe, absent the knowledge and consent of the Miccosukee Tribe’s General Counsel, to arbitration, which effectively… [read post]
20 Feb 2009, 5:57 pm
Morgan Stanley wants to make sure it keeps the best-performing brokers after it forms a joint-venture brokerage firm with Citigroup's Smith Barney unit, so it plans to pay them a total of $2 billion to $3 billion to encourage them to stay with firm for up to nine years. [read post]
22 Jun 2012, 1:58 pm
They both still work for Morgan Stanley Smith Barney. [read post]
27 Apr 2018, 1:54 pm
Dixon was discharged by his employer, Morgan Stanley Smith Barney, LLC (CRD#149777) of Houston, TX. [read post]
31 Jan 2013, 4:26 am
In the Matter of the FINRA Arbitration Between Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barne... [read post]
17 Jun 2014, 8:32 am
Such was the case with Morgan Stanley Smith Barney last week. [read post]
11 Nov 2011, 10:03 am
As indicated by the AWC, Morgan Stanley Smith Barney LLC will revise its written supervisory procedures pertaining to the review of markups and markdowns in fixed-income transactions with its customers. [read post]
18 Sep 2009, 7:27 am
Speaking at the Barclays Capital Global Financial Services Conference on Sept. 15, Citigroup CEO Vikram Pandit for the first time announced publicly that he anticipates the bank to divest its entire 49% stake in Morgan Stanley Smith Barney LLC. [read post]
16 Jun 2012, 9:28 pm
The Ex-Morgan Stanley Smith Barney broker (and before that he worked for predecessor company Citigroup Global Markets Inc. [read post]
23 Aug 2019, 2:07 am
Then Morgan Stanley snatched victory from the jaws of defeat.Case In PointFormer Morgan Stanley Smith Barney, LLC employee Rajesh Gupta filed a Complaint in the United States District Court for the Northern District of Illinois ("NDIL") alleging t... [read post]
12 Jan 2021, 12:39 pm
Specifically, the FINRA AWC stated that Morgan Stanley’s supervisory system was not reasonably designed to supervise 529 share-class recommendations executed 1) in certain legacy Smith Barney accounts or 2) through transactions made directly with plans. [read post]
31 Oct 2018, 1:54 pm
He became a Smith Barney broker in 1993. [read post]
