Search for: "Stanley Smith "
Results 501 - 520
of 892
Sorted by Relevance
|
Sort by Date
30 Mar 2020, 2:22 pm
The action against Wells Fargo follows other similar actions, including a 2017 settlement in which Morgan Stanley Smith Barney agreed to pay $8 million. [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]
25 May 2010, 8:47 am
In February, the firm was sued by Morgan Stanley Smith Barney for allegedly improperly soliciting its brokers, who left and went to HighTower, and took with them $500 million in assets and confidential information. [read post]
6 Jul 2018, 11:51 am
Incorporated, Morgan Stanley DW Inc., and Merill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
22 Jan 2019, 12:25 pm
Cole was also registered with Morgan Stanley Smith Barney in Paramus, NJ from June 1, 2009 until May 11, 2010, and with Morgan Stanley & Co. [read post]
12 Sep 2018, 10:06 am
From June 2009 to March 2010, Musso was registered with Morgan Stanley Smith Barney. [read post]
31 Aug 2018, 6:12 am
From June 2009 to November 2009, Kuhn was registered with Morgan Stanley Smith Barney. [read post]
23 Aug 2012, 10:11 am
Here are some of their concerns and criticisms (with a hat tip to Yves Smith at Naked Capitalism for collecting most of these in his column and its commentary): 1. [read post]
3 Sep 2014, 7:32 am
Smith and Jacqueline M. [read post]
22 Dec 2020, 8:43 am
The whistleblower had been a broker at Morgan Stanley Smith Barney. [read post]
23 Jul 2018, 11:09 am
., Morgan Stanley Smith Barney, Morgan Stanley & Co. [read post]
19 Apr 2024, 1:34 pm
Key Investment Services LLC Shaquane Smith-Thompson J.P. [read post]
16 Jan 2013, 9:00 pm
Morgan Stanley - without a doubt the most significant enforcement action of 2012 was the Declination given to Morgan Stanley, when one of its Managing Directors, Garth Peterson, pled guilty to a FCPA violation. [read post]
7 Jul 2021, 1:51 pm
Morgan Stanley Smith Barney Gaetano Magarelli Newbridge Securities Corp Ameriprise Financial Services, Inc. [read post]
8 Nov 2021, 1:27 pm
Ricardo Uliambre Morgan Stanley Smith Barney LLC UBS Financial Services Inc. [read post]
28 Sep 2022, 12:37 pm
LLC and Morgan Stanley Smith Barney LLC; UBS Securities LLC and UBS Financial Services Inc. [read post]
10 Mar 2014, 10:55 am
., Morgan Stanley Smith Barney, LLC, Chuck A. [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]
22 Feb 2022, 1:58 pm
Morgan Securities LLC Thomas Hagan Morgan Stanley Wells Fargo Advisors, LLC Forrest Jones Merrill Lynch, Pierce, Fenner & Smith Incorporated Fortune Financial Services, Inc. [read post]
16 Oct 2012, 4:05 pm
They worked together at Morgan Stanley and Old Lane Partners LP. [read post]
