Search for: "Stanley Smith "
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28 Aug 2012, 3:15 pm
Morgan Stanley and Citigroup have agreed to give a third party more time to appraise the value of their brokerage joint venture and settle a dispute between the two financial firms. [read post]
1 May 2010, 7:59 am
Moore in Bloomberg.com, “Morgan Stanley Smith Barney to Close 120 ‘Overlap’ U.S. [read post]
14 Sep 2012, 9:39 am
Until recently, Clifford Jagodzinski worked at Morgan Stanley Smith Barney as a Complex Risk Officer. [read post]
27 Apr 2018, 1:54 pm
Dixon was discharged by his employer, Morgan Stanley Smith Barney, LLC (CRD#149777) of Houston, TX. [read post]
29 Aug 2012, 11:11 am
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]
16 Oct 2018, 8:06 am
Smith also was a former UBS Financial Services broker. [read post]
16 Mar 2012, 7:18 am
Gorman, Morgan Stanley's chief executive, told a conference that he was "surprised" by the Greg Smith opinion article and said that his firm "is in much better shape" than its stock price would reflect. [read post]
20 Sep 2016, 12:00 am
The SEC announced in a press release dated June 8, 2016 that Morgan Stanley Smith Barney, LLC has agreed to pay a $1 million penalty to settle charges relating to alleged failures to protect confidential customer information. [read post]
24 Jun 2013, 5:58 am
After a four-year process, Morgan Stanley has agreed to purchase the remaining 35% share of Smith Barney from Citigroup as soon as next week, the firm announced on Friday.Finishing Touches On Citi Deal Boost Morgan Stanley Wealth Management [read post]
12 Jun 2012, 2:47 pm
It was perhaps inevitable, but worth noting all the same: Once Morgan Stanley completes its acquisition of Smith Barney, it will consign the venerable name to the financial industry's ash heap. [read post]
21 Sep 2022, 2:41 pm
Securities and Exchange Commission announced that Morgan Stanley Smith Barney agreed to pay a $35 million fine for the firm’s alleged failure to adequately protect the personal information of approximately 15 million customers. [read post]
12 Jun 2009, 9:43 am
" Will Morgan Stanley Smith Barney really be any different than just Morgan Stanley or Smith Barney? [read post]
16 Mar 2017, 11:07 am
The Securities and Exchange Commission (SEC) announced Feb. 14, 2017 that Morgan Stanley Smith Barney will pay $8 million and admit wrongdoing after allegations related to single inverse ETF (exchange –traded fund) investments it recommended to advisory clients. [read post]
11 Nov 2011, 5:40 am
The Financial Industry Regulatory Authority (FINRA) has fined Morgan Stanley Smith Barney (Morgan Stanley) $1 million and ordered restitution for excessive markups and markdowns charged to customers on bond transactions. [read post]
30 Mar 2012, 3:48 pm
The largest fund by assets, Morgan Stanley Smith Barney Spectrum Select LP, faced $55.2 million in redemptions and lost $67.9 million. [read post]
20 May 2013, 4:34 am
From the opinion: Plaintiff, in opposition to being compelled to arbitrate its claims against Morgan Stanley Smith Barney, contends that Defendant Cypress, as the main co-conspirator in embezzling and misappropriating millions of dollars of the Miccosukee Tribe’s funds for his personal gain, was without authority to bind the Miccosukee Tribe, absent the knowledge and consent of the Miccosukee Tribe’s General Counsel, to arbitration, which effectively closes the federal… [read post]
18 May 2020, 10:19 am
Brokerage Firm Made Unsuitable Investment Recommendations to An Inexperienced Investor Our brokerage firm fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) have filed a Financial Industry Regulatory Authority (FINRA) arbitration against Morgan Stanley on behalf of an elderly Dallas, Texas investor. [read post]
20 Sep 2022, 11:02 am
” Morgan Stanley Smith Barney reportedly consented to the SEC’s order finding that the firm violated the Safeguards and Disposal Rules under Regulation S-P and agreed to pay the penalty, without admitting or denying its findings. [read post]
13 Jul 2018, 6:48 am
If you have questions or concerns regarding investments made with Barry Connell and Morgan Stanley Smith Barney, the securities attorneys of The White Law Group may be able to help. [read post]
4 Dec 2017, 4:03 pm
On September 25, 2017, the Financial Industry Regulatory Authority (“FINRA”) issued a fine of $3.25 million against Morgan Stanley Smith Barney LLC (“Morgan Stanley”) in connection with the brokerage firm’s alleged failure to supervise its brokers’ short-term trades of unit investment trusts. [read post]
