Search for: "Mark A Barney"
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28 Jun 2019, 3:43 am
S., at 770 (internal quotation marks omitted). [read post]
19 Apr 2019, 5:39 am
According to FINRA Disciplinary actions for March 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrera, Cynthia Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Beyn, Edward Rothchild Lieberman LLC Craig Scott Capital Blanchard, Keith Waddell & Reed Block, Gabriel… [read post]
23 Nov 2018, 4:06 am
Cody was previously registered with Salomon Smith Barney and Merrill lynch Pierce, Fenner & Smith Inc. [read post]
21 Sep 2018, 8:33 am
, 149 AD3d at 486 (internal citation and quotation marks omitted). [read post]
1 Jul 2018, 9:41 pm
BARNEY SAMUEL BRADSHAW, No. 16-0328 , the five justices who voted for the judgment did not agree on the rationale. [read post]
15 Dec 2017, 3:00 am
Mark and I have no financial relationship.) [read post]
20 Sep 2017, 10:05 am
Butler was a Managing Director at Morgan Stanley Smith Barney and Citigroup, held senior financial advisory and structuring roles at UBS and Babcock & Brown, and worked at two major law firms. [read post]
15 Sep 2017, 11:51 am
Morgan Stanley Smith Barney LLC, which resulted in $13 million in monetary relief for alleged overcharges to clients of more than $16 million and alleged violations of the custody rule and compliance rule. [read post]
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]
12 May 2017, 6:00 am
Cruz Barney, Óscar. [read post]
20 Mar 2017, 2:39 pm
Prior to that Stanczyk worked for Pinnacle Investments, Wachovia Securities, Prudential Securities, Salomon Smith Barney and Lehman Brothers, where he got his start in the industry in 1984. [read post]
26 Jan 2017, 7:14 am
” It has incontestably registered trademarks for MOROCCANOIL and for design marks for hair care products. [read post]
31 Oct 2016, 9:30 pm
Also expressing dissatisfaction with current financial regulators, Senator Mark Warner (D-Va.), a member of the Senate Committee on Banking, Housing, and Urban Affairs, spoke about the Congressional agenda for financial regulation. [read post]
24 Oct 2016, 9:49 am
Smith Barney, Inc., No. 96-cv-03779, complaint (S.D.N.Y., May 20, 1996). [read post]
4 Oct 2016, 7:19 am
By Mark S. [read post]
11 Sep 2016, 6:32 am
At age 10, with Barney. [read post]
7 Sep 2016, 12:51 pm
Texas' next scheduled execution is of Barney Fuller on Oct. 5. [read post]
7 Jul 2016, 5:03 pm
The Securities and Exchange Commission’s (“SEC”) recent $1 million settlement with Morgan Stanley Smith Barney LLC (“MSSB”) marked a turning point in the agency’s focus on cybersecurity issues, an area that the agency has proclaimed a top enforcement priority in recent years. [read post]
6 Jul 2016, 3:58 am
Therefore, the design patent does not overcome the "strong conclusion" that the utility patent's disclosure of the utilitarian advantages of the proposed mark indicates functionality.Advertising Touting Utilitarian Advantages: Examining Attorney Barney L. [read post]
30 Jun 2016, 9:29 am
The Securities and Exchange Commission’s (“SEC”) recent $1 million settlement with Morgan Stanley Smith Barney LLC (“MSSB”) marked a turning point in the agency’s focus on cybersecurity issues, an area that the agency has proclaimed a top enforcement priority in recent years. [read post]
