Search for: "Stanley Smith "
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28 Jan 2020, 7:21 am
Before joining Morgan Stanley, he worked for Wells Fargo Advisors (CRD#: 19616), Prudential Securities Incorporated (CRD#: 7471), Salomon Smith Barney (CRD#: 7059), Lehman Brothers (CRD#: 7506), E.F. [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]
10 Jan 2020, 7:40 am
John Cahill Is Accused of Elder Investor Fraud Continue Reading › The post Shepherd Smith Edwards and Kantas Investigates Ex-Morgan Stanley Broker John Cahill appeared first on Investor Lawyers Blog. [read post]
9 Jan 2020, 6:56 am
(CRD#:6363), Morgan Stanley & Co. [read post]
8 Jan 2020, 10:00 am
Morgan Securities, LPL Financial, Morgan Stanley Smith Barney and Merrill Lynch for failure to ensure compliance with FINRA Rule 2090 “Know Your Customer” rule, dealing with custodial accounts. [read post]
3 Jan 2020, 5:35 am
And as analysts at Morgan Stanley have noted, following the deal, technology companies in China will likely experience the largest valuation increases among Chinese firms. [read post]
24 Dec 2019, 7:38 am
According to FINRA Disciplinary actions for December 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 Amparo, Nelson Citizens Securities, Inc Santander Securities LLC Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Brown, Andrew Worden Capital Management LLC Aegis Capital Corp… [read post]
6 Dec 2019, 3:00 am
Facebook Has Floated Limiting Political Ads and Labeling That They Aren’t Fact-Checked, Riling 2020 Campaigns Connecticut Post – Tony Romm and Isaac Stanley-Becker (Washington Post) | Published: 12/4/2019 Facebook has weighed whether to label political ads to indicate they have not been fact-checked, rather than vetting what candidates say, one of a series of proposals the company has floated to Democratic and Republican operatives as it seeks to head off controversies… [read post]
26 Nov 2019, 7:44 am
According to FINRA Disciplinary actions for November 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ajayi, Emmanuel JP Morgan Securites LLC HSBC Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Bennett,… [read post]
26 Nov 2019, 7:33 am
According to FINRA Disciplinary actions for November 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 Ainsworth, Richard Southwest Securities, Inc Morgan Stanley Smith Barney Campbell, Charles A.G. [read post]
26 Nov 2019, 7:12 am
Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc Shotz, Richard Wells Fargo Clearing Services Morgan Stanley Vaccaro, Anthony Jr. [read post]
26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services Bartley, Jevon… [read post]
26 Nov 2019, 6:50 am
According to FINRA Disciplinary actions for October 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles Suntrust Investment Services, Inc JP Morgan Securities Bingham, Daniel Essex Securities Investors Capital Corp Devaney, Patrick… [read post]
15 Nov 2019, 3:00 am
San Francisco Chronicle – Isaac Stanley-Becker (Washington Post) | Published: 11/10/2019 When Twitter announced a ban on political ads, some top Democrats urged Facebook to follow, saying the site’s promotion tools benefit President Trump by allowing him and his allies to spread falsehoods that reach millions. [read post]
25 Oct 2019, 3:00 am
Facebook Takedowns Show New Russian Activity Targeted Biden, Praised Trump MSN – Tony Romm and Isaac Baker-Stanley (Washington Post) | Published: 10/21/2019 Facebook introduced new efforts meant to fine-tune its defenses against disinformation ahead of the presidential election. [read post]
22 Oct 2019, 12:22 pm
Ameriprise Financial Services NBC Securities Jeffrey Lundstrom Signator Investors, Inc Transamerica Financial Advisors Uriah Mitchell JP Morgan Securities Raymond Montchal Morgan Stanley Citigroup Global Markets Robert Neuedorf David Lerner Associates Merrill Lynch, Pierce, Fenner & Smith Silver Law Group represents investors in securities and investment fraud cases through FINRA… [read post]
22 Oct 2019, 11:44 am
According to FINRA Disciplinary actions for August 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 Patrick Auckland TIAA-VREF Individual & Institutional Services Morgan Stanley Matthew DiNinno Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Nicholas Diesso Ameriprise… [read post]
22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors Distribution Co … [read post]
9 Oct 2019, 1:20 pm
” All sessions will take place in Jeffries Hall room 1225 (701 South State Street, Ann Arbor) unless otherwise noted.Draft: October 2, 2019Friday, October 11, 20198:00 to 8:15 Arrival8:15 Introductory Remarks (Mary Gallagher and Nicholas Howson)8:30 to 10:30 Panel 15 minutes per speaker 8:30 Liu Sida “Cage for the Birds: On the Social Transformation of Chinese Law” (1999-2019) (Stanley Lubman)8:40… [read post]
4 Oct 2019, 5:07 am
Morgan Stanley Smith Barney LLC. [read post]
