Search for: "Matter of Smith v Barney"
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5 Jun 2024, 12:22 pm
Finley, II, (“William”), as the sole beneficiary of her … retirement plan accounts (collectively referred to as “the accounts”) held by the investment firm Morgan Stanley Smith Barney (“Morgan Stanley”). [read post]
4 Dec 2023, 3:06 pm
Barney [read post]
10 Apr 2023, 4:02 am
Morgan Stanley Smith Barney, LLC... [read post]
23 Feb 2023, 7:07 am
The address for service mess for UK trade marksTradeix Ltd v New Holland Ventures (MARCO POLO) O/681/22 UKIPO (August 2022)The UKIPO has a generous policy for who it allows to act as representatives in UK trade mark matters. [read post]
20 Sep 2022, 12:11 pm
Via Matt Levine, I learn of a SEC complaint against MorganStanley Smith Barney (MSSB): 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 15 million customers. [read post]
7 Sep 2022, 5:23 am
The Court articulated the modern extraterritoriality test in two alcohol price-affirmation cases in the 1980s.[14] Brown-Forman Distillers Corp. v. [read post]
6 Sep 2021, 5:27 am
., Administrator PendenteLite on behalf of the Estate of Ralph Sandor, DeceasedTracey Salmon-Smith, Esq.Justin M. [read post]
8 Mar 2021, 4:17 pm
ROBERT BRINCKERHOFF, individually, and MORGAN STANLEY SMITH BARNEY LLC, Appellees. 4th District.Child custody -- Modification -- Competent substantial evidence supported trial court's modification of time-sharing -- Trial court did not abuse its discretion by giving mother ultimate decision-making authority as to medical issues if parties were unable to agree where court found that parties did not communicate and that their relationship was beyond acrimonious and… [read post]
16 Dec 2020, 10:29 am
Morgan Stanley Smith Barney LLC established the law of the circuit on a nifty issue of subject matter jurisdiction in the context of arbitration. [read post]
21 Sep 2018, 8:33 am
Matter of National Union Fire Ins. [read post]
28 Aug 2018, 2:42 pm
Morgan Stanley Smith Barney LLC, et al. [read post]
22 Apr 2018, 4:34 am
In the Matter of the Arbitration Between Morgan Stanley Smith Barney, LLC. [read post]
29 Nov 2017, 4:14 am
” “Contrary to the District Court’s determination dismissing so much of the counterclaim as was based upon plaintiff’s failure to retain an appraiser, promptly restrain the Citibank/Smith Barney account, and annex his invoices to the counsel fee application, we find that plaintiff failed to establish his prima facie entitlement to judgment as a matter of law, as his submissions in support of his motion with respect to these three alleged instances… [read post]
7 Sep 2016, 10:37 pm
In his decision, Justice Bromberg found that the pre-employment negotiations with Ms Rakic were made “in trade or commerce”, citing with approval the decision of the Honourable Justice Kelly of the Federal Court in the matter of Walker v Salomon Smith Barney Securities Pty Ltd [2003] FCA 1099; (2003) 140 IR 433[2]. [read post]
16 Jun 2016, 2:48 pm
BACKGROUND Last week the SEC issued a settled administrative order finding that Morgan Stanley Smith Barney (now rebranded as Morgan Stanley Wealth Management) failed to adopt written policies and procedures reasonably designed to protect customer data. [read post]
2 Jul 2013, 1:41 pm
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4 Apr 2013, 6:24 am
Morgan Stanley Smith Barney, LLC, Case No. [read post]
11 Sep 2012, 6:23 pm
Also fined over this matter are ex-Rodman & Renshaw CCO William A. [read post]
26 Aug 2012, 8:13 am
United Statesv v. [read post]
22 Aug 2012, 1:09 am
See In re Smith Barney Transfer Agent Litig., No. 05 Civ. 7583 (WHP) (decision available here). [read post]
