Search for: "MORGAN STANLEY SMITH BARNEY"
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6 Apr 2012, 2:05 pm
According to Cerulli Associates, Bank of America Merrill Lynch (BAC), Wells Fargo (WFC), Morgan Stanley Smith Barney (MS), and UBS (UBS)—essentially, the largest financial firms—will see their portion of the high-net-worth market continue to get smaller. [read post]
30 Mar 2012, 3:48 pm
The largest fund by assets, Morgan Stanley Smith Barney Spectrum Select LP, faced $55.2 million in redemptions and lost $67.9 million. [read post]
22 Mar 2012, 8:25 am
According to the reports, Rivera is a former financial advisor of Morgan Stanley Smith Barney who worked at the firm’s Paramus office from October 2008 to October 2010, providing private wealth management services to clients and managing their investment accounts. [read post]
15 Mar 2012, 9:22 am
Jones & Co asserted the following causes of action against Respondents Morgan Stanley Smith Barney (? [read post]
12 Mar 2012, 5:54 am
Whether an employee of Merrill Lynch, Smith Barney, Bear Stearns, Lehman Brothers, Wachovia, UBS, Morgan Stanley, JP Morgan or any number of former or current brokerage firms, the inevitable rounds of lay-offs and firm failures play havoc with the registrations of the industry? [read post]
6 Mar 2012, 3:33 am
... [read post]
28 Feb 2012, 5:47 am
I recently received an email from The Kelly Group at Morgan Stanley Smith Barney with some good practical advice on a financial checkup that everyone should do once a year. [read post]
23 Feb 2012, 7:26 am
According to various reports, a broker formally affiliated with Morgan Stanley Smith Barney, LLC, Berthel Fisher & Co., and LPL Financial was recently arrested in Oregon for allegedly stealing $584,000 from three investors. [read post]
10 Feb 2012, 1:25 pm
Inc. and its subsidiary Morgan Stanley Smith Barney LLC were fined $1 million by FINRA for excessive markups and markdowns in corporate and municipal bond transactions. [read post]
3 Feb 2012, 3:55 pm
Morgan Stanley Settles Sex-Bias Suit. [read post]
24 Jan 2012, 7:16 am
Merrill Lynch Wealth Management, Morgan Stanley Smith Barney, UBS AG and Wells Fargo & Co. have also lost market share by terminating lower producing brokers. [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]
14 Jan 2012, 8:52 am
This will rank it third behind Morgan Stanley Smith Barney and just under Bank of America Corp.'s (BAC) Merrill Lynch. [read post]
10 Jan 2012, 7:42 am
While it does not appear that Merrill’s move on account minimums has yet to be followed by its large-firm competitors, such as Morgan Stanley Smith Barney, and UBS, it would not be surprising to see the entire industry shift this way as a necessary means to increase profitability. [read post]
9 Jan 2012, 7:41 pm
Eric Grossman, who joined from Davis Polk in 2006, was General Counsel of the Americas, Global Head of Litigation and General Counsel of Morgan Stanley Smith Barney. [read post]
7 Jan 2012, 3:13 pm
The other financial firms, ranking in the order that follows, are Charles Schwab, TD Ameritrade, Etrade, Fidelity Brokerage Services, WellsTrade (Wells Fargo), Merrill Edge/Bank of America, and Morgan Stanley Smith Barney LLC. [read post]
28 Dec 2011, 1:50 pm
Morgan Stanley Smith Barney adviser Mark Scribner one day noticed that a business acquaintance he hadn’t spoken to in 15 years had checked out his LinkedIn profile. [read post]
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… [read post]
15 Nov 2011, 9:54 am
The attorneys at Eccleston Law have launched an investigation of former Morgan Stanley Smith Barney and Dimensions Financial Group representative Eric T. [read post]
14 Nov 2011, 8:32 am
Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal bond transactions, and related supervision violations. [read post]
