Search for: "Barney"
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20 May 2020, 1:57 pm
Stifel, Nicolus & Company, Inc Sterne, Agee & Leach, Inc Kievman, Cary Ameriprise Financial Services, Inc Morgan Stanley Smith Barney Krupnick, Jeffrey Ameriprise Financial Services, Inc JHS Capital Advisors, LLC Lake, Jonathan Wells Fargo Clearing Services, LLC Morgan Stanley McCutchen, Jerry Sr. [read post]
19 May 2020, 6:32 pm
In the second case, Morgan Stanley Smith Barney was penalized $1 million for lacking policies and procedures that should have prevented an employee, who was later hacked by a third party, from downloading and transferring confidential customer data to his personal server at home. [read post]
12 May 2020, 11:50 am
Before the COVID-19 outbreak, fashion retail already faced difficult times with numerous bankruptcies, such as Barneys, Sonia Rykiel, Roberto Cavalli and Diesel. [read post]
12 May 2020, 5:56 am
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC (MSSB) has agreed to settle charges that it provided misleading information to clients in its retail wrap fee programs regarding trade execution services and…Read the Full Press ReleaseHave a securities law question? [read post]
8 May 2020, 6:31 am
SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via EmailIn the Matter of Sune Gaulsh, Respondent (FINRA AWC)FINRA Imposes Fine and Suspension for Rep's Fraternal Benefit Society Short-cutIn the Matter of Robert Nordaune, Respondent (FINRA AWC)CityMD mistakenly told 15,000… [read post]
7 May 2020, 6:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5215/securities-industry-commentator/SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via EmailIn the Matter of Sune Gaulsh, Respondent… [read post]
4 May 2020, 1:59 pm
But Barney still sits on CEHE’s board of directors. [read post]
24 Apr 2020, 3:00 am
National/Federal A Watchdog Out of Trump’s Grasp Unleashes Wave of Coronavirus Audits Politico – Kyle Cheney | Published: 4/20/2020 Lawmakers handed President Trump $2 trillion in coronavirus relief and then left town without activating any of the powerful new oversight tools meant to hold his administration accountable. [read post]
2 Apr 2020, 10:34 am
I decided the only thing left to do was call Barney Frank. [read post]
30 Mar 2020, 2:22 pm
The action against Wells Fargo follows other similar actions, including a 2017 settlement in which Morgan Stanley Smith Barney agreed to pay $8 million. [read post]
6 Mar 2020, 1:30 am
Morgan Stanley Smith Barney LLC, Defendant (Final Approval Order, United States District Court for the Northern District of California)Justice Department Wins Historic Arbitration of a Merger Dispute / Novelis Inc. [read post]
4 Mar 2020, 9:54 am
Also attending the argument was former Senator Chris Dodd whose name, together with that of former Congressman Barney Frank, the Dodd-Frank Act carries. [read post]
3 Mar 2020, 1:59 pm
Barney Frank, a Massachusetts Democrat, who co-authored the Dodd-Frank Wall Street Reform and Consumer Protection Act, which created the CFPB. [read post]
27 Feb 2020, 11:25 am
Barneys New York That fancy store you’ve heard of but never been inside shocked American shoppers by filing for bankruptcy. [read post]
8 Feb 2020, 4:22 am
They are Rosa Abdelnour, Ava Abramowitz, Jim Alfini, Cynthia Alkon, Laurie Amaya, Lisa Amsler, Peter Benner, Debra Berman, Russ Bleemer, Michael Buenger, Alyson Carrel, Sarah Cole, Ben Cook, Chris Draper, Noam Ebner, Deb Eisenberg, Brian Farkas, Lara Fowler, Doug Frenkel, Steve Goldberg, Rebekah Gordon, Michael Green, Jill Gross, Chris Guthrie, Noah Hanft, Heather Heavin, David Henry, Howard Herman, Chris Honeyman, Charlie Irvine, Barney Jordaan, Jane Juliano, Michaela Keet, Randy Kiser,… [read post]
5 Feb 2020, 4:52 pm
Rather, the Kaiser surveys and other evidence appear to establish that consumers view THE RIDE as Applicant’s mark.Therefore, the Board agreed with Examining Attorney Barney L. [read post]
29 Jan 2020, 2:00 am
Working at Barneys New York used to be a premier retail position. [read post]
28 Jan 2020, 7:21 am
” In March, 1998 Smith Barney customers alleged Montes gave them “erroneous advice” regarding deductions on their tax returns, which led to interest and penalties. [read post]
13 Jan 2020, 1:45 pm
Morgan Securities LLC, Morgan Stanley Smith Barney LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc., for failing to ensure asset transfers on legally mandated dates for at least 80,585 accounts. 53,384 of the accounts came from Morgan Stanley and 15,366 accounts came from Merrill Lynch; while, 5,666 accounts were at J.P. [read post]
8 Jan 2020, 10:00 am
Morgan Securities, LPL Financial, Morgan Stanley Smith Barney and Merrill Lynch for failure to ensure compliance with FINRA Rule 2090 “Know Your Customer” rule, dealing with custodial accounts. [read post]
