Search for: "Stanley Smith "
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17 Nov 2011, 5:26 pm
SEC Charges Morgan Stanley Investment Management for Improper Fee Arrangement, SEC, November 16, 2011 SEC charges Morgan Stanley Investment Management with violations, Miami Herald, November 16, 2011 More Blog Posts: Retirement Fund’s CDO Lawsuit Against Morgan Stanley is Dismissed by District Court, Institutional Investor Securities Fraud, October 27, 2011 Morgan Stanley Faces $1M FINRA Fine for Excessive Markups and Markdowns on Corporate and Municipal… [read post]
22 Apr 2018, 4:34 am
In the Matter of the Arbitration Between Morgan Stanley Smith Barney, LLC. [read post]
19 Dec 2018, 12:03 pm
In the Matter of Morgan Stanley Smith Barney LLC, Respondent (AWC 2014040051801, December 26, 2018). [read post]
8 Jun 2010, 12:00 pm
From 1893 on, the Stanley Cup has been held every year except 1919 and 2005. [read post]
16 Nov 2010, 3:16 am
Rodney Gray and Morgan Stanley Smith Barney, LLC and is currently pending in the U. [read post]
17 Nov 2010, 10:33 am
The upheaval in the financial industry has prompted long time brokers in the full-service brokerage firms like Morgan Stanley Smith Barney, Bank of America Merrill Lynch, and UBS Wealth Management Americas to make a break for independence. [read post]
18 Dec 2017, 9:00 am
Even though multimillionaire Stanley Smith did all the right things in creating his estate plan, it turned out his trust wasn’t foolproof, according to CNBC in "The American Greed Report: How to control your money... [read post]
13 Feb 2009, 4:13 am
Before the ink on is even dry on the deal to create the joint venture between Morgan Stanley and Citigroup's Smith Barney, some of the two brokerages' top performers are already heading for the exits, The New York Post reported. [read post]
20 Jul 2007, 7:57 am
Morgan Stanley, Lehman Brothers and Smith Barney recently forbade employees from entertaining clients at the Hawaiian Tropic Zone, a Times Square restaurant where the waitresses wear bikinis. [read post]
27 Dec 2012, 6:25 am
By: Stanley Chalvire The United States Patent and Trademark Office (USPTO) recently published final rules in the Federal Register implementing the micro entity provisions of the Leahy-Smith America Invents Act. [read post]
22 Feb 2010, 7:32 pm
That's the title of Stanley Fish's latest column. [read post]
26 Oct 2007, 1:33 pm
According to Lauren Smith, an analyst at Keefe, Bruyette & Woods, Wachovia would indeed make the best partner for Merrill. [read post]
24 Jan 2017, 11:54 am
At the time, Citigroup held a 49 percent ownership interest in Morgan Stanley Smith Barney and representatives at both firms were pitching the foreign exchange trading program. [read post]
26 Nov 2012, 4:56 am
The case the judge was referencing was the Court’s decision in Smith v. [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]
22 Apr 2019, 9:48 am
Smith II. [read post]
28 Dec 2020, 1:55 pm
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Frisco, TX, Morgan Stanley Smith Barney (CRD#:149777) and Morgan Stanley & Co. [read post]
10 Nov 2006, 12:59 pm
But thanks to a contest for an upcoming Will Smith movie, someone else might. [read post]
2 Nov 2018, 10:41 am
Morgan Securities LLC (CRD #79), also of New York, NY, Santander Securities (CRD #41791) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) both of Miami, FL. [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 interest. [read post]
