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30 Apr 2009, 4:44 am
Mack, speaking at the investment banking giant's annual meeting Wednesday, said the Smith Barney deal, which will give Morgan Stanley a controlling stake in what [...] [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]
20 Sep 2022, 4:05 am
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…Read the Full Press ReleaseHave a securities law question? [read post]
28 May 2020, 5:00 pm
In a release dated May 12, 2020, the Securities Exchange Commission announced that Morgan Stanley Smith Barney agreed to settle charges that it provided misleading information to clients in its Retail Wrap Fee Programs regarding trade execution services and transaction costs. [read post]
28 May 2020, 5:00 pm
In a release dated May 12, 2020, the Securities Exchange Commission announced that Morgan Stanley Smith Barney agreed to settle charges that it provided misleading information to clients in its Retail Wrap Fee Programs regarding trade execution services and transaction costs. [read post]
11 Jan 2019, 8:41 am
Vicente Davila (CRD #4419824) was employed by Morgan Stanley from April 2016 through February 2018. [read post]
1 Jul 2010, 3:38 am
Morgan Stanley hired 100 private bankers and may quintuple their numbers by the end of 2011 to offer more products such as jumbo mortgages and structured loans to Morgan Stanley Smith Barney clients, Bloomberg News reported, citing a person with knowledge of the strategy. [read post]
13 Feb 2020, 7:45 am
Ex-Morgan Stanley Broker Sentenced To 30 Months Please contact Shepherd Smith Edwards and Kantas (SSEK Law Firm) if Elias Herbert Hafen, a former Morgan Stanley (MS) and Wells Fargo (WFC) broker, was your financial representative when you suffered substantial investment losses that you think may be due to fraud. [read post]
11 Sep 2013, 10:51 am
Morgan Stanley, which is set to receive another $57 billion of deposits from Citigroup Inc. as part of its Smith Barney purchase, plans to accelerate lending to put those funds to use. [read post]
30 Aug 2010, 2:42 am
Bank of America's Merrill Lynch is generating more profit with fewer people than the business Morgan Stanley formed by buying a controlling stake in a venture with Citigroup's Smith Barney, Bloomberg News reported. [read post]
23 Oct 2009, 7:30 am
Morgan Stanley Smith Barney announced the integration of Smith Barney's Citi Family Office into its own ultra-high-net-worth division, which will now be called Morgan Stanley Private Wealth Management. [read post]
29 Mar 2010, 1:58 pm
Baird Private Wealth Management has lured two executives from Morgan Stanley Smith Barney to join its office in Scottsdale, Ariz. [read post]
28 Dec 2017, 8:00 am
., Stanley Smith, 78, of Dimmitt, was driving a Saturn Ion south on US-385 when a Freightliner semi crossed over into the southbound lane and side-swiped the Saturn causing extensive damage to the driver side. [read post]
12 May 2015, 10:02 am
On May 7, 2015, a Financial Industry Regulatory Authority (“FINRA”) arbitration panel (the “Panel”) awarded (the “Award”) $500,000 to Respondent, John Offenburger (“Offenburger”), against the Claimants Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barney FA Notes Holdings, LLC (collectively “Morgan Stanley” and/or “Claimants”), regarding a promissory note dispute. [read post]
10 Mar 2009, 9:34 am
Smith Barney bleeds as it prepares for merger with Morgan Stanley according to InvestmentNews magazine. [read post]
16 Sep 2009, 12:22 pm
The Street is reporting that Citi CEO Vikram Pandit said the company will eventually sell its remaining stake in the Smith Barney joint venture entered into this summer with Morgan Stanley. [read post]
1 Apr 2010, 3:15 am
Morgan Stanley Smith Barney is suing a former St. [read post]
8 Mar 2016, 1:08 pm
On February 22, 2016, a Financial Industry Regulatory Authority (“FINRA”) panel (the “Panel”) rendered an award (the “Award”) dismissing Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barney FA Notes Holding, LLC’s (collectively “Morgan Stanley”) promissory note claim against one of its registered representatives, Brandon Neal (“Neal”), and granting Neal’s counterclaims,… [read post]
21 Aug 2012, 2:12 pm
In a FINRA arbitration statement of claim filed in April 2011, Morgan Stanley Smith Barney (“MSSB”) sought $68,239.00 in compensatory damages plus interest, costs, and fees from Respondent Richard Swetish, who had been an employee with the firm. [read post]
11 Oct 2018, 10:58 am
Morgan Stanley fired Smith in 2016 in the wake of the broker fraud allegations. [read post]
