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16 Jun 2016, 2:48 pm
BACKGROUND Last week the SEC issued a settled administrative order finding that Morgan Stanley Smith Barney (now rebranded as Morgan Stanley Wealth Management) failed to adopt written policies and procedures reasonably designed to protect customer data. [read post]
14 Mar 2016, 3:16 pm
Bruce Tuchman had previously been employed at Smith Barney, but left to join Wells Fargo in 2009. [read post]
9 Feb 2016, 7:47 am
Morgan Stanley Smith Barney LLC, February 4, 2016).District court action. [read post]
5 Feb 2016, 1:25 pm
The pay ratio issue was addressed in the Dodd-Frank Act and a subsequent rule adopted by the SEC.While neither the new pay ratio rule nor Regulation S-K specifically addresses gender pay disparity, Pax Ellevate said, the logic behind them is the same. [read post]
22 Dec 2015, 8:29 am
Morgan Stanley Smith Barney LLC et al., 3:15-cv-00074 (E.D. [read post]
15 Oct 2015, 7:15 am
Congressman Barney Frank introduced an amendment to remove the exemption for broker-dealers, but his proposed amendment retained the same exemption for sales to qualified purchasers as defined by the Commission, the group asserted. [read post]
2 Oct 2015, 5:18 pm
" From a Q&A with 3 female reporters.May 1996: When Democratic Representative Barney Frank of Massachusetts said that the Defense of Marriage bill was motivated by politics, he was accused of a "desperate attempt to politicize what is not a political issue. [read post]
20 Sep 2015, 11:36 am
The quote, attributed to former Congressman Barney Frank, was “people expect too much from boards”. [read post]
10 Aug 2015, 1:00 am
Former Congressman Barney Frank offers his support for Medicare coverage of advance care planning. [read post]
29 Jun 2015, 7:50 am
Among its many other virtues, the opinions in Obergefell v. [read post]
24 May 2015, 12:30 am
McPherson reviews Eric Foner's Gateway to Freedom: The Hidden History of the Underground Railroad (Norton) for The New York Review of Books.Also in The New York Review of Books is a review of Barney Frank's memoir, Frank: A Life in Politics from the Great Society to Same-Sex Marriage (Farrar, Straus and Giroux).Jill Leovy's Ghettoside: Investigating a Homicide Epidemic (Bodley Head) and LAPD '53 by James Elroy and the Los Angeles Police… [read post]
15 Mar 2015, 12:30 am
"Barney Frank's memoir, Frank: A Life in Politics From the Great Society to Same-Sex Marriage (Farrar, Straus and Giroux) is reviewed in The Washington Post. [read post]
13 Jan 2015, 12:14 pm
(Of course, that was the case when the statute was being drafted – one of the scariest things I ever saw on a monitor was a live webcast of Barney Frank’s subcommittee hearing, when multi-page riders were waltzed in to the hearing room and voted upon before anyone could read them – much less debate them.) [read post]
12 Jan 2015, 10:09 am
He was Vice Chair of the New York State Democratic Party, Senior Advisor to the Mario Cuomo reelection campaign (1990), and Deputy Campaign Manager for Barney Frank's initial run for Congress (1980). [read post]
1 Dec 2014, 9:15 pm
Tweet Tags: Barney Frank, free trade, international human rights, Securities and Exchange CommissionDodd-Frank conflict minerals fiasco, cont’d is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
13 Oct 2014, 9:30 am
Barney Frank This Thursday, October 16, former U.S. [read post]
13 Oct 2014, 9:30 am
Barney Frank This Thursday, October 16, former U.S. [read post]
24 Jul 2014, 10:30 pm
Former Representative Barney Frank testified before the House Financial Services Committee, defending the Dodd-Frank Act in a hearing marking its fourth anniversary. [read post]
21 Jul 2014, 7:39 am
Most notably, the witness list includes former Congressman Barney Frank, who formerly chaired the Committee and for whom the Act is named (together with former Senator Chris Dodd). [read post]
28 May 2014, 7:15 pm
He's also refreshing on his likes--Barney Frank, President Obama and lots of other people, really (there are many appreciative comments about his staff). [read post]
