Search for: "MORGAN STANLEY SMITH BARNEY, LLC, a limited liability corporation"
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21 Aug 2017, 5:00 am
File no. 3-17808 (Jan. 24, 2017), and In the Matter of Morgan Stanley Smith Barney LLC, SEC, Admin. [read post]
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]
20 Sep 2022, 12:11 pm
Via Matt Levine, I learn of a SEC complaint against MorganStanley Smith Barney (MSSB): The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately 15 million customers. [read post]
15 Nov 2021, 10:39 am
See e.g., In the Matter of Morgan Stanley Smith Barney LLC, Investment Advisers Act Rel. [read post]
15 Nov 2021, 10:39 am
See e.g., In the Matter of Morgan Stanley Smith Barney LLC, Investment Advisers Act Rel. [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… [read post]
