Search for: "Stanley R Smith"
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16 Nov 2020, 11:09 am
" The subcommittee will hear testimony from Patricia Hastings, the chief consultant for post deployment health services at the Department of Veterans Affairs, and David Smith, the deputy assistant secretary of defense for health readiness. [read post]
23 Jul 2020, 5:55 am
Key Findings Allowing companies to fully and immediately deduct investments in structures is one of the most cost-efficient ways lawmakers can stimulate investment, create jobs, and boost GDP during a post-pandemic recovery. [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]
8 May 2020, 6:31 am
SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via EmailIn the Matter of Sune Gaulsh, Respondent (FINRA AWC)FINRA Imposes Fine and Suspension for Rep's Fraternal Benefit Society Short-cutIn the Matter of Robert Nordaune, Respondent (FINRA AWC)CityMD mistakenly told… [read post]
7 May 2020, 6:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5215/securities-industry-commentator/SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via EmailIn the Matter of Sune Gaulsh,… [read post]
6 Mar 2020, 1:30 am
Morgan Stanley Smith Barney LLC, Defendant (Final Approval Order, United States District Court for the Northern District of California)Justice Department Wins Historic Arbitration of a Merger Dispute / Novelis Inc. [read post]
26 Nov 2019, 7:33 am
According to FINRA Disciplinary actions for November 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Ainsworth, Richard Southwest Securities, Inc Morgan Stanley Smith Barney Campbell, Charles A.G. [read post]
15 Nov 2019, 3:00 am
San Francisco Chronicle – Isaac Stanley-Becker (Washington Post) | Published: 11/10/2019 When Twitter announced a ban on political ads, some top Democrats urged Facebook to follow, saying the site’s promotion tools benefit President Trump by allowing him and his allies to spread falsehoods that reach millions. [read post]
25 Oct 2019, 3:00 am
Mitt Romney (R-Utah). [read post]
22 Sep 2019, 11:54 am
Smith, Morgan Stanley in Minneapolis, MN Are you concerned about investments with Kevin P. [read post]
23 Aug 2019, 2:07 am
Then Morgan Stanley snatched victory from the jaws of defeat.Case In PointFormer Morgan Stanley Smith Barney, LLC employee Rajesh Gupta filed a Complaint in the United States District Court for the Northern District of Illinois ("NDIL") alleging t... [read post]
12 Jul 2019, 12:14 am
David Smith, RLA policy director, said: The Right to Rent has been a failure. [read post]
9 Jul 2019, 6:09 am
• Stanley Crawford, 75, of Austin, died May 25, 2019. [read post]
10 Jun 2019, 10:41 am
• William R. [read post]
10 Jun 2019, 10:41 am
• William R. [read post]
22 Apr 2019, 9:48 am
R. [read post]
10 Jan 2019, 12:53 pm
Morgan Stanley Smith Barney – In December, FINRA hit the firm with the largest penalty of the year, a $10 million penalty for AML failures during a five year period. [read post]
19 Dec 2018, 12:05 pm
It's a demand by public customers for $7.8 million in damages from Morgan Stanley Smith Barney and Wells Fargo Advisors. [read post]
19 Dec 2018, 12:03 pm
In the Matter of Morgan Stanley Smith Barney LLC, Respondent (AWC 2014040051801, December 26, 2018). [read post]
14 Aug 2018, 12:26 pm
Morgan Stanley Smith Barney LLC, John Joseph Biondo, Jr., and William Michael Peragine, III, Respondents (FINRA Arbitration 15-03434, August 10, 2018) http://www.finra.org/sites/default/files/aao_documents/15-03434.pdf In response to ... [read post]