Search for: "MORGAN STANLEY SMITH BARNEY"
Results 81 - 100
of 341
Sorted by Relevance
|
Sort by Date
15 Oct 2021, 12:10 pm
Case in PointOn July 30, 2021, Morgan Stanley Smith Barney LLC filed an action in the United States District Court for the District of Oregon ("DOR") against former employee Robert Sevcik asserting breaches of contract and of the duty of loyalty. [read post]
8 Jun 2016, 9:53 am
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information, some of which was hacked and offered for sale online. [read post]
13 Jul 2010, 6:19 am
Morgan Chase & Co in response to a former advisor who left J.P. and took $30 million of client assets with him to Morgan Stanley Smith Barney. [read post]
7 Aug 2012, 10:42 am
(MS), Morgan Stanley Smith Barney, and Citigroup (C). [read post]
9 Aug 2015, 2:56 pm
The Financial Industry Regulatory Authority (FINRA) issued a press release concerning two settlements fining Morgan Stanley Smith Barney, LLC (Morgan Stanley) $650,000 and Scottrade, Inc. $300,000 for failing to implement reasonable supervisory systems to monitor the transmittal of customer funds to third-party accounts. [read post]
19 Nov 2015, 6:34 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Travis Shannon, a former financial advisor with Morgan Stanley Smith Barney from September 2008 to July 2013, was fired by Morgan Stanley for undisclosed outside business activities. [read post]
8 Dec 2016, 6:44 am
This one involves ten promissory notes worth a few million dollars issued to two former Morgan Stanley Smith Barney employees. [read post]
10 Feb 2022, 11:25 am
Fired California Financial Advisor Allegedly Bilked Pro Athletes of Millions Darryl Matthew Cohen, a former top-producing Morgan Stanley Smith Barney registered representative of Southern California, faces a FINRA bar beginning February 16, 2022. [read post]
1 May 2023, 3:49 am
LLC,MORGAN STANLEY SMITH BARNEY LLC, AND MORGAN STANLEY, Defendants. [read post]
8 Jul 2010, 3:11 am
JPMorgan Chase is suing a former financial adviser who defected to Morgan Stanley Smith Barney and has already transferred $30 million of client assets to his new company, Reuters reported. [read post]
4 Feb 2011, 2:43 am
Morgan Stanley Smith Barney recently reported that the business-cycle recovery of the global economy that began in the summer of 2009 is now over. [read post]
17 Aug 2010, 6:09 am
Morgan Chase & Co’s recent decision to sue a former financial adviser who defected to Morgan Stanley Smith Barney. [read post]
29 Nov 2020, 4:00 pm
Morgan Stanley Smith Barney, Inc., Justice Barry R. [read post]
30 Jul 2007, 9:41 am
The brokerage house with the most unsatisfied customers was Morgan Stanley. [read post]
27 Jun 2014, 3:25 am
This is an update of Former Morgan Stanley Smith Barney Brokers Win $5 Million Employment Dispute Arbitration Award (BrokeAndBroker.com, June 20, 2012).In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2011 and thereafter amended, Claimants Paladino and Vitale asserted:fraudulent misrepresentation;promissory fraud;fraudulent concealment and/or omission;negligent misrepresentation;negligent concealment… [read post]
15 Aug 2019, 1:57 pm
Graystone Consulting, a business of Morgan Stanley Smith Barney, announced Allan D. [read post]
14 Jul 2022, 8:28 am
In the petition, the SEC describes a “multi-year Ponzi scheme perpetrated by Good involving his clients at Morgan Stanley Smith Barney, LLC. [read post]
12 Mar 2012, 5:54 am
Whether an employee of Merrill Lynch, Smith Barney, Bear Stearns, Lehman Brothers, Wachovia, UBS, Morgan Stanley, JP Morgan or any number of former or current brokerage firms, the inevitable rounds of lay-offs and firm failures play havoc with the registrations of the industry? [read post]
13 Jan 2009, 4:23 am
But on Monday, as the struggling financial giant moved toward a deal with Morgan Stanley for its Smith Barney brokerage unit, all the old demons returned, The New York [...] [read post]
22 Jan 2014, 2:38 am
In the Matter of Magnolia Gaerlan, Respondent (AWC 2013036717601, January 15, 2014).In 1996, Gaerlan entered the securities industry and by 2009 she was employed at Morgan Stanley Smith Barney LLC as a registered sales assistant until her resig... [read post]
