Search for: "Smith Barney"
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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]
24 Jun 2013, 5:58 am
A final handshake on Morgan Stanley’s acquisition of Smith Barney will tie up some lingering loose ends, including a smoother clearing process for client assets, in one of the largest wealth management industry deals in the past decade. [read post]
2 Jul 2008, 8:53 pm
Citigroup is offering to cover some of the losses of investors involved with certain hedge funds sold by the firm's Smith Barney brokerage unit. [read post]
21 Aug 2012, 2:12 pm
In a FINRA arbitration statement of claim filed in April 2011, Morgan Stanley Smith Barney (“MSSB”) sought $68,239.00 in compensatory damages plus interest, costs, and fees from Respondent Richard Swetish, who had been an employee with the firm. [read post]
29 Aug 2012, 11:11 am
In a FINRA arbitration statement of claim filed in April 2011, Morgan Stanley Smith Barney (“MSSB”) sought $68,239.00 in compensatory damages plus interest, costs, and fees from Respondent Richard Swetish, who had been an employee with the firm. [read post]
1 May 2010, 7:59 am
Moore in Bloomberg.com, “Morgan Stanley Smith Barney to Close 120 ‘Overlap’ U.S. [read post]
1 Sep 2009, 9:36 am
The Financial Industry Regulatory Authority (FINRA) recently announced that a former Smith Barney sales assistant working out of the firm's Palo Alto, California, branch office was barred from the industry for securities fraud law violations that included bilking customers out of more than $850,000. [read post]
12 Jun 2009, 9:43 am
" Will Morgan Stanley Smith Barney really be any different than just Morgan Stanley or Smith Barney? [read post]
12 May 2020, 5:56 am
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC (MSSB) has agreed to settle charges that it provided misleading information to clients in its retail wrap fee programs regarding trade execution services and…Read the Full Press ReleaseHave a securities law question? [read post]
14 Sep 2012, 9:39 am
Until recently, Clifford Jagodzinski worked at Morgan Stanley Smith Barney as a Complex Risk Officer. [read post]
14 Aug 2012, 5:01 am
Smith Barney, No. 11-1270-cv, 2012 WL 1003656 (2d Cir. [read post]
28 Jul 2010, 3:48 pm
Citigroup and Smith Barney marketed municipal arbitrage funds under the names MAT and ASTA. [read post]
24 Jul 2007, 4:46 pm
We have helped numerous clients to recover in claims against both Smith Barney and Citicorp. [read post]
15 Aug 2008, 5:11 pm
The SF Chron reports: Smith Barney has agreed to pay $33 million to settle claims by three Northern California women that the brokerage giant favored men in pay, promotions and client assignments.U.S. [read post]
22 Jun 2012, 1:58 pm
They both still work for Morgan Stanley Smith Barney. [read post]
17 Jun 2014, 8:32 am
Such was the case with Morgan Stanley Smith Barney last week. [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]
5 Jun 2009, 2:52 am
Baird & Co.'s Green Bay office to stop soliciting Smith Barney clients. [read post]
16 Jun 2012, 9:28 pm
The Ex-Morgan Stanley Smith Barney broker (and before that he worked for predecessor company Citigroup Global Markets Inc. [read post]
15 Jun 2009, 5:25 pm
In Smith Barney, Inc. v. [read post]
