Search for: "MORGAN STANLEY SMITH BARNEY"
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31 Aug 2012, 3:47 pm
Rojas, SEC.gov (PDF) SEC halts Denver Based Ponzi Scheme, SEC.gov, August 15, 2012 More Blog Posts: Institutional Investment Roundup: Madoff Ponzi Victims to Get 2nd Payout, Insurer’s MBS Lawsuit Against UBS Can Proceed, SEC Charges 2 in $10M Penny Stock Scam, & Hedge Fund Manager Found Guilty in $900K Insider Trading Scheme, Institutional Investor Securities Blog, August 29, 2012 SEC Securities Law Roundup: First Whistleblower Award Under New Program is Announced, Internet-Based… [read post]
28 Feb 2024, 6:37 pm
” These letters are called activity letters and most brokerage firms send them, including Morgan Stanley, Bank of America, Wells Fargo, Merrill Lynch, Citigroup (Smith Barney), and Ameriprise. [read post]
11 Sep 2012, 6:23 pm
(PDF) SEC Charges Former Sky Bell Hedge Fund Manager With Making Misrepresentations In Selling And Recommending His Hedge Funds, SEC.gov, August 27, 2012 More Blog Posts: Texas Securities Roundup: Morgan Stanley Smith Barney Sued Over Financial Adviser’s Ponzi Scam, Judge Dismisses Ex-GE Executive Whistleblower’s Lawsuit Over His Firing, & Ex-Stanford Financial Group CIO Pleads Guilty to Obstructing the SEC’s Probe, Stockbroker Fraud… [read post]
8 Nov 2010, 3:20 am
From the Vail Daily: [52 year old Martin Joel] Erzinger, an Arrowhead homeowner, is a director in private wealth management at Morgan Stanley Smith Barney in Denver. [read post]
15 May 2007, 6:12 am
The class action complaint alleged that defendants entered into arrangements with Morgan Stanley, Salomon Smith Barney, Wachovia and others that included “(1) cash payments to brokers in return for the brokers' agreement to promote sales of fund shares; (2) directing fund portfolio brokerage to brokers in return for agreements by the brokers to promote the funds (a practice known as “directed brokerage”); and (3) excessive… [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 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]
9 Mar 2007, 7:50 am
An AFSCME-submitted proposal will be on the ballot April 10 at Morgan Stanley, and a similar proposal from the AFL-CIO goes before United Technologies shareholders April 11. [read post]
12 May 2009, 6:23 am
Morgan Stanley merged with Dean Witter. [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]
20 Sep 2009, 7:38 am
• Citigroup has announced its intention to dispose of its 49% interest in the Morgan Stanley Smith Barney joint venture. [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]
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]
22 Aug 2014, 6:20 am
Morgan Stanley Dean Witter, 337 N.J. [read post]
9 Jun 2016, 3:28 pm
In a June 8, 2016 press release (here), the agency announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
10 Nov 2015, 2:18 pm
In the brokerage firm context, the ones that are regulated by FINRA, again, your Morgan Stanley, your Merrill Lynch, your Smith Barney, etc., in that context, there are two models. [read post]
2 Jul 2013, 1:41 pm
Nussbaum (1) Bernard-Henry Lévy (3) Bert Parks (1) Bertrand Russell (1) Bessie Smith (1) Best of the Web (7) bestiality (14) Beta Rube (1) betamax3000 (18) Beth (the commenter) (9) Bette Davis (14) Bette Midler (1) Betty Friedan (8) Betty White (1) Beyonce (18) Bhutan (2) Bianca Jagger (1) Bible (40) Biddy Martin (13) biden (177) Biden gaffes (21) Biff (1) big and small (5) Big Government sounds like a creepy stalker (10) Big Hollywood (1) Big Mike (1) bigotry (22) biking (160)… [read post]
8 Mar 2021, 4:17 pm
ROBERT BRINCKERHOFF, individually, and MORGAN STANLEY SMITH BARNEY LLC, Appellees. 4th District.Child custody -- Modification -- Competent substantial evidence supported trial court's modification of time-sharing -- Trial court did not abuse its discretion by giving mother ultimate decision-making authority as to medical issues if parties were unable to agree where court found that parties did not communicate and that their relationship was beyond… [read post]
10 Oct 2010, 8:11 am
Representatives Alan Grayson (D-FL), Barney Frank (D- MA) and Corrine Brown (D-FL) sent a letter dated September 24th, to Fannie Mae questioning the failed GSE’s use of “foreclosure mills,” which the letter described as “law firms representing lenders that specialize in speeding up the foreclose process, often without regard to process, substance or legal propriety. [read post]
6 Sep 2021, 5:27 am
., Administrator PendenteLite on behalf of the Estate of Ralph Sandor, DeceasedTracey Salmon-Smith, Esq.Justin M. [read post]
