Search for: "Smith Management Services, LLC"
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30 Apr 2010, 10:26 pm
Bank of America’s Merrill Lynch, Morgan Stanley Smith Barney LLC, and other investment banks are reportedly offering leading brokers up to 300% of the revenue they produced in the last 12 months. [read post]
8 Mar 2013, 8:07 am
Greenbrier Management Services, LLC ArrivalStar S.A. v. [read post]
8 Jul 2015, 2:29 pm
The indictment alleges that Graves defrauded six clients of his firm, Warren Financial Services LLC, through the sale of $420,720 in investment contracts. [read post]
19 Jan 2022, 12:19 pm
Realtime Cloud Services LLC, 228 A.3d 1065 (Del. [read post]
9 Aug 2019, 6:16 am
A Catch 22 for Asset Managers Posted by Jasmin Sethi, Sethi Clarity Advisers LLC, on Friday, August 2, 2019 Tags: Asset management, BlackRock, Diversity, Engagement, Index funds, Institutional Investors, Shareholder voting, SSgA, Transparency, Vanguard Opportunities for Cross Border Cooperation in Regulation of Digital Assets Posted by Hester M. [read post]
28 Sep 2022, 8:06 am
LLC together with Morgan Stanley Smith Barney LLC; andUBS Securities LLC together with UBS Financial Services Inc.The following two firms have agreed to pay penalties of $50 million each:Jefferies LLC; andNomura Securities International, Inc.Cantor Fitzgerald & Co. has agreed to pay a $10 million penalty. [read post]
8 Jan 2015, 4:37 am
In their lawsuit, the Lavinskys named Fred Astaire Dance System in Ohio, G & K Management Services, Inc., G & K’s president Guy Schiavone, and In Time LLC as defendants. [read post]
26 Apr 2017, 12:26 am
And a petition for rehearing en banc, with robust amici support, is currently pending in Unwired Planet, LLC v. [read post]
9 Jul 2018, 12:43 pm
According to FINRA Disciplinary actions for June 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Donald Nelson Bower III Edward Jones Invest Financial Corp Christopher Masharn Bruce Statefarm VP Management Corp Chris Bruce Insurance Agency… [read post]
5 Jul 2022, 9:04 am
James Shelburne Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
9 Jul 2018, 12:46 pm
According to FINRA Disciplinary actions for June 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Mona Ali JP Morgan Securities Bobbie Jo Bressler Farmers Financial Solutions, LLC State Farm VP Management Corp Jeffrey Scott… [read post]
29 Sep 2019, 2:35 pm
” Cuozzo Speed Technologies, LLC v. [read post]
27 Oct 2011, 12:30 pm
• Securities Network LLC • Asset Management Strategies LLC • Okoboji Financial Services Inc. [read post]
12 Jul 2022, 5:45 am
Hainsworth Law Library Colin Levy, Director of Legal and Evangelist, Malbek Sam McAllister, Director of Litigation Technology, Lightfoot, Franklin & White LLC Devshi Mehrota, CEO and Co-Founder, JusticeText Annie Mentkowski, Agency Librarian, United States Railroad Retirement Board Ivan Mokanov, President, Lexum Sam Moore, Director of Vendor Relations, Reynen Court Jason Morris, CEO, LEXpedite Neal Nagely, CEO and Founder, BookLawyer Igor Olenich, President, National Docketing… [read post]
26 Jun 2019, 1:06 pm
Smith previously served as a managing director at Patomak Global Partners LLC, where she advised financial services firms, including broker-dealers, exchanges, banks, and asset managers, and public companies on regulatory policy, corporate governance, and compliance matters. [read post]
17 Feb 2021, 9:05 pm
Criminal actions were reported over New England Meat Packing LLC, Debbie Smith, HACCP manager, and Memet Beqiri, president, Stafford Springs, CT, and Rhode Island Beef and Veal, Michael A. [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]
13 Jul 2011, 7:49 pm
We are very pleased that Jay and his team have joined Winstead, said Houston Managing Shareholder Tom Forestier. [read post]
12 Jul 2009, 10:44 pm
LLC created, advised, and managed the REITs named in the proceedings. [read post]
14 Jun 2009, 8:52 am
She works as a paralegal/officer manager with her husband, Robert Dato, a Woodbridge attorney. [read post]
