Search for: "Barneys Inc"
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22 Jun 2011, 7:11 pm
Salomon Smith Barney, Inc. held a participant may sue a non-fiduciary for "other appropriate equitable relief" under ERISA § 502(a)(3). [read post]
19 Aug 2015, 9:56 am
From September 2005, until June 2009, Kaplan was registered with Citigroup Global Markets Inc. [read post]
31 Jul 2007, 6:05 am
Scientific-Atlanta, Inc. [read post]
23 Jan 2015, 6:56 am
Thereafter, Casson was associated with Trustmont Financial Group, Inc. [read post]
31 May 2007, 9:45 am
Prudential Financial Inc. continues to own 38% of Wachovia. [read post]
10 Jan 2019, 12:53 pm
Fifth Third Securities Inc. [read post]
16 Jan 2012, 4:42 pm
Jo Ann Marie Head, formerly with Morgan Stanley Smith Barney in Whittier, California, was barred from association with any FINRA member and ordered to pay restitution to a customer in the amount of $19,000, which represented a loan granted Head by a customer. [read post]
16 Nov 2009, 8:11 pm
Citigroup, Inc., 47 Cal.4th 610 (Cal. 2009) [Slip Opn., at 1-2]. [read post]
18 Feb 2014, 2:38 pm
I went on to become an arbitrator for NASD Dispute Resolution, Inc., now known as FINRA, which is the forum where approximately 90% of all securities disputes are resolved. [read post]
21 Apr 2011, 11:46 am
Zatarain’s, Inc. v. [read post]
9 Dec 2016, 7:25 am
From February 2011 until January 2012 Kievman was associated with Morgan Stanley Smith Barney. [read post]
22 Jan 2019, 12:25 pm
Ronald Cole Suspended by UBS Financial Services, Inc. [read post]
12 Sep 2018, 10:06 am
From June 2009 to March 2010, Musso was registered with Morgan Stanley Smith Barney. [read post]
7 Jan 2012, 3:13 pm
Scottrade Inc. and Vanguard Brokerage Services tied for second. [read post]
24 Jan 2022, 1:43 pm
Inc. [read post]
22 Feb 2021, 8:38 am
Morgan Stanley Smith Barney LLC does not accept appointments, nor will it act as a trustee, but it will provide access to trust services through an appropriate third-party corporate trustee. [read post]
12 Jun 2012, 5:36 am
Salomon Smith Barney Inc., 530 U.S. 238 (2000), the Court addressed whether ERISA section 502(a)(3) authorizes a “participant, beneficiary or fiduciary” of a plan to bring a civil action to obtain “appropriate equitable relief” to redress violations of ERISA Title I extends to a lawsuit brought against a nonfiduciary “party in interest” to a transaction barred by ERISA section 406(a). [read post]
22 Apr 2015, 6:55 am
DELRAY PROPERTY INVESTMENTS, INC., SOSQ PROPERTY INVESTMENTS, INC., HATIM HASHWANI and ROBERT GEISERMAN, Appellees. 4th District.Costs -- Defendant was denied due process when costs were assessed against it without a written motion for costs and without providing defendant an opportunity to be heardMEDICAL SPECIALISTS OF TAMPA BAY, LLC, Appellant, v. [read post]
20 Apr 2012, 6:58 pm
Citigroup Inc Chief Executive Vikram Pandit and the bank’s directors have been sued for allegedly giving paying top executives at the bank too much money. [read post]
7 Jul 2021, 1:51 pm
Morgan Stanley Smith Barney Gaetano Magarelli Newbridge Securities Corp Ameriprise Financial Services, Inc. [read post]
