Search for: "MORGAN STANLEY SMITH BARNEY"
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22 Aug 2014, 6:20 am
Morgan Stanley Dean Witter, 337 N.J. [read post]
27 Jun 2014, 3:25 am
This is an update of Former Morgan Stanley Smith Barney Brokers Win $5 Million Employment Dispute Arbitration Award (BrokeAndBroker.com, June 20, 2012).In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2011 and thereafter amended, Claimants Paladino and Vitale asserted:fraudulent misrepresentation;promissory fraud;fraudulent concealment and/or omission;negligent misrepresentation;negligent concealment… [read post]
18 Jun 2014, 12:54 pm
His Broker Report also indicates that he was employed by Morgan Stanley Smith Barney from June 2009 through February 2011 and Citigroup Global Markets from December 2007 through June 2009. [read post]
17 Jun 2014, 8:32 am
Such was the case with Morgan Stanley Smith Barney last week. [read post]
16 Jun 2014, 7:09 am
Morgan Stanley Smith Barney actually adopted a policy related to the solicitation of IPO’s. [read post]
23 May 2014, 11:02 am
Authored by Caitlin Ladd Employers with commissioned employees will be pleased with a new decision finding that Morgan Stanley Smith Barney’s approach to commission calculations was not an improper deduction from wages under the New York Labor Law. [read post]
1 May 2014, 6:40 am
As such, Respondent is liable for and shall pay to Claimant the amount of $237,326.00 minus $40,000.00 awarded to Respondent, for a net amount due to Claimant of $197,326.00. 11-03662 Morgan Stanley Smith Barney LLC; Morgan Stanley Smith Barney FA Notes Holdings LLC, Morgan Stanley & Co., LLC John Darold Simmons Respondent to pay $546,336.00 in compensatory damages, which amount includes pre-judgment… [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]
1 Apr 2014, 5:42 am
Thereafter, from September 2010 until May 2011, Mallett was associated with Morgan Stanley Smith Barney (Morgan Stanley). [read post]
10 Mar 2014, 10:55 am
Roberts within 30 days after service of the award, Respondents Citigroup Global Markets, Inc. and Morgan Stanley Smith Barney, LLC are jointly and severally liable for and shall pay the outstanding sum to Claimants and Respondents Citigroup Global Markets, Inc. and Morgan Stanley Smith Barney, LLC shall be subrogated to Claimants’ rights to the extent of payment. [read post]
18 Feb 2014, 2:38 pm
I have been counsel in numerous securities arbitration cases against such brokerage firms as Merrill Lynch, Bank of America, Morgan Stanley Smith Barney, Wells Fargo, Securities America, Oppenheimer, UBS and many others. [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]
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]
5 Nov 2013, 6:03 am
From January 2003 through the end of 2012, Morgan Stanley enticed over 30,000 customers to invest $797 million collectively into a managed-futures fund called Morgan Stanley Smith Barney Spectrum Technical L.P. [read post]
29 Oct 2013, 3:46 am
Morgan Stanley Smith Barney, LLC, No.12-CV-298-JED-FHM, 2013 U.S. [read post]
16 Oct 2013, 11:45 am
The investigation also includes investments in the Managed futures Premier BHM Fund, Morgan Stanley Smith Barney Spectrum Strategic Fund, grant Park Futurs Fund LP, Systematic Momentum Futures Access, RJO Global Trust and Altegris Winton Futures Fund. [read post]
11 Sep 2013, 10:51 am
Morgan Stanley, which is set to receive another $57 billion of deposits from Citigroup Inc. as part of its Smith Barney purchase, plans to accelerate lending to put those funds to use. [read post]
6 Aug 2013, 8:34 am
According to reports, Morgan Stanley Smith Barney recommended that its financial advisors pull client money out of Paulson’s Advantage and Advantage Plus funds in December 2012, potentially because the firm became concerned with the level of risk to which their clients were being exposed. [read post]
6 Aug 2013, 8:29 am
According to reports, Morgan Stanley Smith Barney recommended that its financial advisors pull client money out of Paulson’s Advantage and Advantage Plus funds in December 2012, potentially because the firm became concerned with the level of risk to which their clients were being exposed. [read post]
6 Aug 2013, 8:26 am
According to reports, Morgan Stanley Smith Barney recommended that its financial advisors pull client money out of Paulson’s Advantage and Advantage Plus funds in December 2012, likely because the firm was concerned with the level of risk to which their clients were being exposed. [read post]
