Search for: "MORGAN STANLEY SMITH BARNEY"
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31 Aug 2018, 6:12 am
From June 2009 to November 2009, Kuhn was registered with Morgan Stanley Smith Barney. [read post]
23 Jul 2018, 11:09 am
., Wells Fargo Advisors, LLC, Morgan Keegan & Company, Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. [read post]
27 Sep 2010, 12:12 pm
MacEwen practiced securities law in-house for nearly 10 years at Morgan Stanley Dean Witter (now Morgan Stanley Smith Barney), and practiced litigation and corporate law with Shea & Gould and with Breed, Abbott & Morgan in New York. [read post]
25 Apr 2007, 1:45 pm
Note that "banks" includes "investment bankers" such as Merrill Lynch, Morgan Stanley, Smith Barney, etc. [read post]
30 Mar 2020, 2:22 pm
The action against Wells Fargo follows other similar actions, including a 2017 settlement in which Morgan Stanley Smith Barney agreed to pay $8 million. [read post]
24 Apr 2015, 11:46 am
Parthemer was employed and licensed to recommend the purchase and sale of securities by Morgan Stanley Smith Barney LLC from June 2009 through October 2011, and from October 2011 through March 2013 with Wells Fargo Advisors, LLC. [read post]
22 Jan 2019, 12:25 pm
Cole was also registered with Morgan Stanley Smith Barney in Paramus, NJ from June 1, 2009 until May 11, 2010, and with Morgan Stanley & Co. [read post]
12 Sep 2018, 10:06 am
From June 2009 to March 2010, Musso was registered with Morgan Stanley Smith Barney. [read post]
22 Dec 2020, 8:43 am
The whistleblower had been a broker at Morgan Stanley Smith Barney. [read post]
29 Oct 2021, 8:07 am
According to his FINRA Broker report, Welsh was reportedly affiliated with the following firms during his 17-year career in the securities industry: 09/07/2012 – 07/08/2021, WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616), FAIRFIELD, NJ 06/01/2009 – 10/05/2012, MORGAN STANLEY SMITH BARNEY (CRD#:149777), FAIRFIELD, NJ 04/02/2007 – 06/01/2009, MORGAN STANLEY & CO. [read post]
16 Oct 2012, 4:05 pm
They worked together at Morgan Stanley and Old Lane Partners LP. [read post]
23 Oct 2020, 8:03 am
Deependra Logani Morgan Stanley Smith Barney LLC Santander Securities LLC Anthony Mastroianni Jr. [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]
17 Jul 2008, 6:12 pm
Firms that are reportedly the subjects of such investigations include UBS, Merrill Lynch, Citigroup/Smith Barney, Goldman Sachs, and Morgan Stanley, among others. [read post]
30 Jun 2010, 2:00 pm
Aaron Mattison - Deutsche BankJohnita Mizelle - Progress Investment ManagementRyan Moorehead - First Sterling FinancialLevan Moulton - Goldman SachsNkrumah Pierre - The Execu/Search GroupNadia Rhodes - Bank of America Merrill LynchNate Saint-Victor - Morgan Stanley Smith Barney Walker Sands - The Majora Carter GroupReshma Saujani - Candidate for CongressCourtney Williams - InteractiveOne For general information, please contact Ashleigh at agibson@nycup.org. [read post]
6 Aug 2013, 8:22 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]
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]
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]
20 Jan 2017, 5:00 am
Court of Appeals for the Sixth Circuit ruled unanimously against John Verble, a former Morgan Stanley Smith Barney financial adviser who claims he was fired in 2013 for cooperating with the FBI in an investigation. [read post]
23 Jan 2015, 6:56 am
According to Casson’s BrokerCheck records, the advisor was registered with Morgan Stanley Smith Barney from June 2010, until August 2011. [read post]
