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8 Aug 2012, 4:01 pm
(As of the end of June 2012, Morgan Stanley Smith Barney had 740 offices. [read post]
22 Jan 2014, 2:38 am
In the Matter of Magnolia Gaerlan, Respondent (AWC 2013036717601, January 15, 2014).In 1996, Gaerlan entered the securities industry and by 2009 she was employed at Morgan Stanley Smith Barney LLC as a registered sales assistant until her resig... [read post]
4 Jun 2019, 11:14 am
Morgan Stanley has since paid that money back to the client. [read post]
9 Dec 2013, 8:29 am
In the second amendment in three years following the Smith Barney acquisition, Morgan Stanley is raising revenue bands by 10% for advisors bringing in under $2.5 million. [read post]
21 Jul 2020, 4:30 am
Before that, Mike Carter was a broker with Morgan Stanley Smith Barney for almost two years between June 2009 and May 2011. [read post]
21 Jul 2020, 4:30 am
Before that, Mike Carter was a broker with Morgan Stanley Smith Barney for almost two years between June 2009 and May 2011. [read post]
27 Dec 2006, 9:42 pm
To set up an appointment for a free consultation, contact Shepherd, Smith, and Edwards today. [read post]
4 Apr 2013, 6:24 am
Morgan Stanley Smith Barney, LLC, Case No. [read post]
10 Aug 2018, 11:07 am
Previous employers include Morgan Stanley & Co., Incorporated (CRD #8209) and Morgan Stanley DW Inc. [read post]
13 Jan 2020, 1:45 pm
Morgan Securities LLC, Morgan Stanley Smith Barney LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc., for failing to ensure asset transfers on legally mandated dates for at least 80,585 accounts. 53,384 of the accounts came from Morgan Stanley and 15,366 accounts came from Merrill Lynch; while, 5,666 accounts were at J.P. [read post]
9 May 2007, 3:57 pm
If you or someone you know has been the victim of investment fraud, contact Shepherd Smith and Edwards today to schedule a free consultation with an attorney. [read post]
7 Apr 2014, 7:01 am
The law offices of Gana LLP recently filed a complaint against RBC Capital Markets, LLC (RBC) and Morgan Stanley Smith Barney, LLC (Morgan Stanley) accusing their registered representative Bruce Weinstein (Weinstein) of churning (excessive trading) and making unsuitable recommendations. [read post]
13 Jan 2009, 4:23 am
But on Monday, as the struggling financial giant moved toward a deal with Morgan Stanley for its Smith Barney brokerage unit, all the old demons returned, The New York [...] [read post]
24 Nov 2017, 4:00 pm
Stanley Smith made his fortune by selling iron ore in post-World War II Japan. [read post]
30 Jul 2007, 9:41 am
The brokerage house with the most unsatisfied customers was Morgan Stanley. [read post]
26 Apr 2016, 2:35 am
Regardless of where your sympathies lie, today's BrokeAndBroker.com Blog presents a recent battle between Morgan Stanley Smith Barney and one of its former registered reps who departed for the purportedly sunnier climes of LPL. [read post]
6 Mar 2020, 1:30 am
Morgan Stanley Smith Barney LLC, Defendant (Final Approval Order, United States District Court for the Northern District of California)Justice Department Wins Historic Arbitration of a Merger Dispute / Novelis Inc. [read post]
7 May 2007, 8:22 am
If you are someone who has been the victim of investment fraud, contact Shepherd Smith and Edwards today to schedule your free consultation. [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… [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]
