Search for: "MORGAN STANLEY SMITH BARNEY"
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11 Nov 2011, 10:03 am
As indicated by the AWC, Morgan Stanley Smith Barney LLC will revise its written supervisory procedures pertaining to the review of markups and markdowns in fixed-income transactions with its customers. [read post]
11 Nov 2011, 5:40 am
The Financial Industry Regulatory Authority (FINRA) has fined Morgan Stanley Smith Barney (Morgan Stanley) $1 million and ordered restitution for excessive markups and markdowns charged to customers on bond transactions. [read post]
10 Nov 2011, 12:52 pm
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... [read post]
10 Nov 2011, 12:52 pm
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... [read post]
5 Oct 2011, 3:11 am
http://bit.ly/n356E4 (Julie Hilden) Steps to Protect Your Blog From Liability - http://bit.ly/o1kh5C (Jonathan Bick) The ALL CAPS Defense to Defamation - http://bit.ly/qKfGzl (Eric Johnson) The Answer To Soaring eDiscovery Costs - http://bit.ly/qPosbt (Kelli Brooks) The Case for Bringing Predictive Coding to Court - http://bit.ly/pDTJiw (Monica Bay) The Dance: Resolving Form Disputes Early Avoids Litigation Missteps - http://bit.ly/oelaJ3 (Craig Ball) The Future of eDiscovery: Top Ten Trends and… [read post]
15 Sep 2011, 12:10 pm
Morgan Stanley Smith Barney, or more accurately, its predecessor Morgan Stanley andamp; Co., the Morgan Stanley part of the June 2009 joint venture with Morgan Stanley andamp; Co. and the Smith Barney division of Citigroup Global Markets, Inc., is no stranger to e-mail problems. [read post]
1 Sep 2011, 11:58 am
However, according to his Public Disclosure Records, it appears that Citigroup, now Morgan Stanley Smith Barney, is vigorously defending claims brought by its customers relating to Singerandrsquo;s conduct. [read post]
10 Aug 2011, 6:19 pm
(Smith Barney is a division of Citigroup Global Markets, Inc. and is now doing business as part of Morgan Stanley Smith Barney, LLC.) [read post]
20 Jun 2011, 5:58 pm
District Court for the Central District of California, federal law preempts would-be class claims accusing Morgan Stanley Smith Barney LLC of having insider trading detection and deterrent policies that are illegal under California labor and unfair competition statutes. [read post]
7 Jun 2011, 4:24 am
As the guest of my good friend Dennis Rosa, a wealth manager at Morgan Stanley Smith Barney, I attended Morgan Stanley's annual gift to the Northeast Florida community of bringing Andy Friedman to town. [read post]
1 Jun 2011, 5:19 am
Grow - http://tinyurl.com/3dk9rmo (Cas Purdy) Deloitte Global Corporate Counsel Report 2011 - http://tinyurl.com/3gbdrc4 (Registration Required) (Deloitte) eDiscovery Basics: Litigation Preparedness (Vol. 1, No. 3) http://tinyurl.com/4xfffbz (Gibson Dunn) June Edition of Corporate Counsel Magazine - Online - http://tinyurl.com/3efpac7 (ALM) SuperConference 2011 Session Highlights: Day 1 - http://tinyurl.com/3ojftdf (Kayleigh Roberts, Ashley Trent) SuperConference 2011 Session Highlights: Day 2 -… [read post]
29 Mar 2011, 1:32 pm
The new head of Morgan Stanley's brokerage unit, Greg Fleming, talks to CNBC about how his group fits into the broader company -- and what the market environment means for business. [read post]
14 Mar 2011, 3:34 pm
Recruiters believe that there will be more departures of Morgan Stanley advisers in 2011, particularly among those advisers who came on board from the Smith Barney acquisition. [read post]
23 Feb 2011, 10:29 am
Trust can do it and get away with it, who's to say someone like Morgan Stanley Smith Barney won't try it? [read post]
22 Feb 2011, 11:58 pm
State auditor Crit Luallen is accusing the Kentucky Workers' Compensation Funding Commission of breaking the law when, rather than seeking financial advice from the Kentucky Finance and Administration Cabinet's Office of Fiscal Management, it paid Morgan Stanley Smith Barney for private financial advice. [read post]
16 Feb 2011, 3:00 pm
Polak, Managing Director, Citigroup, Inc. and General Counsel, Morgan Stanley Smith Barney relationshipStacey J. [read post]
4 Feb 2011, 2:43 am
Morgan Stanley Smith Barney recently reported that the business-cycle recovery of the global economy that began in the summer of 2009 is now over. [read post]
22 Dec 2010, 3:30 am
Inc., Morgan Stanley DW, Inc. and Morgan Stanley Smith Barney LLC-- failed to pay their broker assistants overtime wages, compensation for missed meal and rest breaks, and failed to furnish itemized wage statements accurately reflecting the hours worked as required under the California labor law. [read post]
17 Dec 2010, 9:00 am
Some of them are the Ameriprise Financial Services, Wells Fargo Advisors, LPL Financial, and Edward Jones, Charles Schwab, Chase Investment Services, Morgan Stanley Smith Barney, Raymond James, Merrill Lynch and some others. [read post]
7 Dec 2010, 2:24 am
This is when the lexical elements “eliminate the possibility of confusion,” Morgan Stanley and Morgan Stanley Smith Barney Holdings LLC v. [read post]
