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8 Jun 2016, 9:53 am
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information, some of which was hacked and offered for sale online. [read post]
2 Oct 2014, 6:28 am
Shannon, of Santa Barbara, California, formerly of Morgan Stanley Smith Barney. [read post]
16 Jun 2012, 9:28 pm
The Ex-Morgan Stanley Smith Barney broker (and before that he worked for predecessor company Citigroup Global Markets Inc. [read post]
15 Feb 2017, 8:53 am
Yesterday the SEC announced that Morgan Stanley Smith Barney will pay $8 million penalty and admit wrongdoing to settle charges related to single inverse ETF investments it recommended to advisory clients. [read post]
10 Jun 2016, 7:12 am
The Securities and Exchange Commission (SEC) recently announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information, some of which was hacked and offered for sale online. [read post]
27 Jun 2019, 12:37 pm
Kelly Stanley Smith Killed in Brunswick, Georgia I-95 Accident. [read post]
14 Nov 2011, 8:32 am
Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal bond transactions, and related supervision violations. [read post]
5 Oct 2016, 11:14 am
If you suffered losses investing with Morgan Stanley Smith Barney, the attorneys at The White Law Group may be able to help. [read post]
15 Oct 2020, 9:30 pm
" Using case files from the papers of Supreme Court Justice Stanley Forman Reed, as well as other archival materials from the collections, the exhibit explores how Smith v. [read post]
5 Oct 2016, 7:59 am
According to FINRA, former Morgan Stanley broker, Jeffrey H. [read post]
20 Mar 2007, 9:07 am
Melvin Jr. the Stanley Frank Lifetime Achievement Award at its Annual Investor Meeting today at the O. [read post]
6 May 2019, 9:01 am
Contact Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) today. [read post]
22 Feb 2017, 6:13 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing in order to settle charges by the SEC.According to the complaint, the SEC alleged that Morgan Stanley did not adequately implement its policies and procedures and did not ensure that its clients understood the risks related to single-inverse ETF investments that the firm recommended to advisory clients. [read post]
18 Sep 2009, 7:27 am
Speaking at the Barclays Capital Global Financial Services Conference on Sept. 15, Citigroup CEO Vikram Pandit for the first time announced publicly that he anticipates the bank to divest its entire 49% stake in Morgan Stanley Smith Barney LLC. [read post]
11 Feb 2022, 8:25 am
Morgan Stanley Lawsuits Seek $5 Million for Fraud Losses According to an article in Financial Advisor IQ , the regulator has barred financial advisor Darryl Cohen, of Morgan Stanley, after allegations of stealing money from his professional athlete clients. [read post]
22 Feb 2011, 11:58 pm
State auditor Crit Luallen is accusing the Kentucky Workers' Compensation Funding Commission of breaking the law when, rather than seeking financial advice from the Kentucky Finance and Administration Cabinet's Office of Fiscal Management, it paid Morgan Stanley Smith Barney for private financial advice. [read post]
20 Nov 2009, 1:14 pm
Morgan Stanley Smith Barney LLC and Merrill Lynch are going toe-to-toe by offering top reps a recruiting package of up to 330% of annual production. [read post]
20 Jun 2011, 5:58 pm
District Court for the Central District of California, federal law preempts would-be class claims accusing Morgan Stanley Smith Barney LLC of having insider trading detection and deterrent policies that are illegal under California labor and unfair competition statutes. [read post]
15 Nov 2011, 9:54 am
The attorneys at Eccleston Law have launched an investigation of former Morgan Stanley Smith Barney and Dimensions Financial Group representative Eric T. [read post]
1 Jun 2022, 11:12 am
Between December 2010 and April 2015, Francisco Valenzuela was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, and between March 2015 and January 2018, Valenzuela was registered with Morgan Stanley. [read post]
