Search for: "MORGAN STANLEY SMITH BARNEY"
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22 Sep 2022, 9:23 am
Worden Capital Management LLC Steven Wyatt Morgan Stanley Smith Barney Morgan Stanley & Co, Incorporated Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
20 Sep 2022, 12:11 pm
Via Matt Levine, I learn of a SEC complaint against MorganStanley Smith Barney (MSSB): The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately 15 million customers. [read post]
20 Sep 2022, 11:02 am
” Morgan Stanley Smith Barney reportedly consented to the SEC’s order finding that the firm violated the Safeguards and Disposal Rules under Regulation S-P and agreed to pay the penalty, without admitting or denying its findings. [read post]
20 Sep 2022, 4:05 am
The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately…Read the Full Press ReleaseHave a securities law question? [read post]
17 Sep 2022, 9:15 am
SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman (BrokeAndBroker.com Blog)Area man who claimed to be African prince convicted by jury of several fraud crimes (DOJ Release)Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers (SEC Release)Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering / Crypto Asset Promoter Ian Balina… [read post]
14 Jul 2022, 8:28 am
In the petition, the SEC describes a “multi-year Ponzi scheme perpetrated by Good involving his clients at Morgan Stanley Smith Barney, LLC. [read post]
11 Jul 2022, 10:52 am
David Karandos was reportedly affiliated with the following FINRA registered firms, among others, during his career in the securities industry: 09/12/2013 – 11/13/2019, DINOSAUR FINANCIAL GROUP, L.L.C (CRD#:104446), Indianapolis, IN, 06/01/2009 – 03/23/2012, MORGAN STANLEY SMITH BARNEY (CRD#:149777), INDIANAPOLIS, IN Potential Lawsuits to Recover Financial Losses The White Law Group is… [read post]
5 Jul 2022, 9:16 am
Morgan Stanley Smith Barney For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
7 Mar 2022, 7:24 am
His previous employer employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Miamisburg, OH, Morgan Stanley Smith Barney (CRD#:149777) and Citigroup Global Markets Inc. [read post]
14 Feb 2022, 10:37 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… [read post]
10 Feb 2022, 11:25 am
Fired California Financial Advisor Allegedly Bilked Pro Athletes of Millions Darryl Matthew Cohen, a former top-producing Morgan Stanley Smith Barney registered representative of Southern California, faces a FINRA bar beginning February 16, 2022. [read post]
24 Jan 2022, 1:43 pm
Jared Poe Morgan Stanley Smith Barney Morgan Stanley & Co Incorporated Yousuf Salijooki Wordon Capital Management LLC Salomon Whitney Financial Dudley Stephens Coastal Equities, Inc. [read post]
15 Nov 2021, 10:39 am
., In the Matter of Morgan Stanley Smith Barney LLC, Investment Advisers Act Rel. [read post]
15 Nov 2021, 10:39 am
., In the Matter of Morgan Stanley Smith Barney LLC, Investment Advisers Act Rel. [read post]
8 Nov 2021, 1:27 pm
Ricardo Uliambre Morgan Stanley Smith Barney LLC UBS Financial Services Inc. [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]
15 Oct 2021, 12:10 pm
Case in PointOn July 30, 2021, Morgan Stanley Smith Barney LLC filed an action in the United States District Court for the District of Oregon ("DOR") against former employee Robert Sevcik asserting breaches of contract and of the duty of loyalty. [read post]
22 Sep 2021, 8:30 am
Morgan Stanley Smith Barney LLC Paul Vizanko Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [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]
20 Aug 2021, 2:00 am
© 2021 Morgan Stanley Smith Barney LLC. [read post]
