Search for: "Barney"
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29 Mar 2021, 2:02 pm
(CRD#:8174), both of San Francisco, and Smith Barney Shearson Inc. [read post]
8 Mar 2021, 4:17 pm
ROBERT BRINCKERHOFF, individually, and MORGAN STANLEY SMITH BARNEY LLC, Appellees. 4th District.Child custody -- Modification -- Competent substantial evidence supported trial court's modification of time-sharing -- Trial court did not abuse its discretion by giving mother ultimate decision-making authority as to medical issues if parties were unable to agree where court found that parties did not communicate and that their relationship was beyond acrimonious and considered other… [read post]
8 Mar 2021, 7:24 am
Before working for Dinosaur Financial Group, Karandos worked for Morgan Stanley Smith Barney and UBS Financial Services. [read post]
2 Mar 2021, 2:34 pm
" Barney v. [read post]
26 Feb 2021, 12:46 pm
Concerning the proposed statue of Barney Fife (played by Don Knotts) in Mt. [read post]
22 Feb 2021, 8:38 am
Morgan Stanley Smith Barney LLC does not accept appointments, nor will it act as a trustee, but it will provide access to trust services through an appropriate third-party corporate trustee. [read post]
1 Feb 2021, 2:02 pm
(CRD#:8174), both of San Francisco, and Smith Barney Shearson Inc. [read post]
24 Jan 2021, 9:35 am
Benton Christopher Michael Wade Joseph Martin Stephens Christopher II X César Agusto Lozada Rickey Ivan Kanter Stephanie Christine Mohr Robert Edward Coughlin II Mark Siljander James Harutun Batmasian Gary Mark Brugman Joseph Occhipinti Rebekah Kay Charleston Russell Paul Plaisance Lynn Wade Barney Paul L. [read post]
22 Jan 2021, 12:13 pm
His previous employers include Morgan Stanley Smith Barney (CRD#:149777) and Citigroup Global Markets Inc. [read post]
19 Jan 2021, 8:16 am
Hanaur & Company, Smith Barney Inc., Citigroup Global Markets Inc., Wells Fargo Clearing Services LLC and is currently working for Raymond James & Associates, Inc. [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 Dec 2020, 12:55 pm
Morgan Stanley’s Supervisory Failures result in almost $1.4 Million in Overcharges According to a Letter of Acceptance Waiver and Consent (AWC) signed December 30, The Financial Industry Regulatory Authority (FINRA) has sanctioned Morgan Stanley Smith Barney (CRD # 149777) for supervisory failures connected to recommendations of 529 Savings Plans. [read post]
29 Dec 2020, 12:04 pm
(CRD#:6363), Morgan Stanley Smith Barney (CRD#:149777) and Citigroup Global Markets Inc. [read post]
28 Dec 2020, 1:55 pm
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Frisco, TX, Morgan Stanley Smith Barney (CRD#:149777) and Morgan Stanley & Co. [read post]
28 Dec 2020, 6:49 am
Whistleblower Complaint The whistleblower was a broker at Morgan Stanley Smith Barney when he and other brokers and financial advisors were told about the CitiFX Alpha trading program. [read post]
22 Dec 2020, 8:43 am
The whistleblower had been a broker at Morgan Stanley Smith Barney. [read post]
17 Dec 2020, 11:35 am
A former South Florida Morgan Stanley Smith Barney broker’s decision to blow the whistle on alleged misconduct has resulted in an almost $1.8 million award from the Securities and Exchange Commission, which said the complaint helped uncover crucial evidence and claw back millions for investors.Represented by James Sallah of Sallah Astarita & Cox, LLC and Scott Silver of Silver Law Group the complaint revolved around a foreign currency trading program called “CitiFX Alpha. [read post]
16 Dec 2020, 10:29 am
Morgan Stanley Smith Barney LLC established the law of the circuit on a nifty issue of subject matter jurisdiction in the context of arbitration. [read post]
15 Dec 2020, 9:45 am
Our client was a financial advisor at broker-dealer Morgan Stanley Smith Barney, LLC (Morgan Stanley). [read post]
5 Dec 2020, 6:06 am
Reports from DPS show that 68-year-old William Hall was driving westbound on Farm to Market Road 2626 in a 2001 Nissan sedan with his passenger, 59-year-old Barney Simmons. [read post]
