Search for: "Stanley Smith "
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24 Aug 2015, 7:16 am
(King) concerning allegations that from July 2009, through November 2012, while King was registered Morgan Stanley Smith Barney LLC (Morgan Stanley) and later Wells Fargo Advisors, LLC (Wells Fargo), circumvented Wells Fargo’s policies and procedures by assisting another broker in concealing nearly $400,000 in loans to three firm customers, loaned $25,000 to a customer without permission, participated in an undisclosed private securities transaction, otherwise… [read post]
21 Aug 2015, 10:23 am
In Couch, plaintiff was employed as a financial adviser for Morgan Stanley Smith Barney from September 2007 until January 2013. [read post]
19 Aug 2015, 9:56 am
From June 2009, until April 2011, Kaplan was associated with Morgan Stanley Smith Barney (Morgan Stanley). [read post]
18 Aug 2015, 6:23 am
From there, Honingstock was associated with Morgan Stanley Smith Barney form June 2009, until December 2009. [read post]
12 Aug 2015, 9:08 am
– $100,000 Merrill Lynch, Pierce, Fenner & Smith Incorporated – $500,000 Morgan Stanley & Co. [read post]
9 Aug 2015, 2:56 pm
The Financial Industry Regulatory Authority (FINRA) issued a press release concerning two settlements fining Morgan Stanley Smith Barney, LLC (Morgan Stanley) $650,000 and Scottrade, Inc. $300,000 for failing to implement reasonable supervisory systems to monitor the transmittal of customer funds to third-party accounts. [read post]
5 Jul 2015, 9:42 am
Peters, Stanley Lugowski, D. [read post]
25 Jun 2015, 1:29 pm
Hart and Company Loop Capital Markets Martin Nelson & Co Merchant Capital Merrill Lynch Pierce Fenner & Smith Corporation Morgan Stanley & Co The Northern Trust Company Oppenheimer & Co Raymond James & aSSOCIATES RBC Capital Markets Robert W Baird & Co Raymond James & Associates RBC Capital Markets Robert W Baird & Co Siebert Brandford Shank & Co Smith Hayes Financial Services Corporation Stephens Inc Sterne Agee & Leach Stifel… [read post]
19 May 2015, 7:31 am
From June 2009, through October 21, 2011, he was registered through Morgan Stanley Smith Barney LLC (Morgan Stanley). [read post]
12 May 2015, 10:02 am
On May 7, 2015, a Financial Industry Regulatory Authority (“FINRA”) arbitration panel (the “Panel”) awarded (the “Award”) $500,000 to Respondent, John Offenburger (“Offenburger”), against the Claimants Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barney FA Notes Holdings, LLC (collectively “Morgan Stanley” and/or “Claimants”), regarding a promissory note dispute. [read post]
5 May 2015, 12:01 pm
His concurring opinion does not question, or even cite, Smith, Miller, or the third-party doctrine in any way. [read post]
28 Apr 2015, 10:49 am
Actually, the Greek original means “noble,” from “eu-” (good) and “genes” (birth), so Evgeny Kutznetsov put together means, more or less, “noble descendant of a smith. [read post]
26 Apr 2015, 9:30 pm
[I've invited several of Stanley I. [read post]
24 Apr 2015, 11:46 am
Parthemer was employed and licensed to recommend the purchase and sale of securities by Morgan Stanley Smith Barney LLC from June 2009 through October 2011, and from October 2011 through March 2013 with Wells Fargo Advisors, LLC. [read post]
22 Apr 2015, 6:55 am
DAVID KELLY, Appellee. 2nd District.Creditors' rights -- Garnishment -- Service of process on garnishee LLC was defective where writ of garnishment was served on an hourly employee who is not an officer or manager, who does not supervise other personnel, who does not have any direct client contact, and who is not the registered agent for service of process -- There is no merit to contention that employee was a business agent authorized to accept service of process -- Trial court erred in… [read post]
20 Apr 2015, 4:00 am
Eberle, Stanley Fish, William A. [read post]
14 Apr 2015, 6:20 am
Bates also served as Sheriff Stanley Glanz’s political campaign manager in 2012 and made a number of financial donations to the sheriff’s office. [read post]
7 Apr 2015, 5:59 am
Stoll was photographed in 2014 following the Stanley Cup victory partying at the Las Vegas MGM Grand with the Stanley Cup. [read post]
3 Mar 2015, 4:01 pm
He suggested to a fellow-traveller on the ferry, Miss Alice Winstone, that he should send a telegram to his Bishop purporting to be from the then Prime Minister, Mr Stanley Baldwin. [read post]
23 Jan 2015, 6:56 am
According to Casson’s BrokerCheck records, the advisor was registered with Morgan Stanley Smith Barney from June 2010, until August 2011. [read post]
