Search for: "Morgan Stanley Smith Barney LLC"
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22 Feb 2021, 8:38 am
Morgan Stanley Smith Barney LLC does not accept appointments, nor will it act as a trustee, but it will provide access to trust services through an appropriate third-party corporate trustee. [read post]
1 Feb 2021, 2:02 pm
His previous employers include Morgan Stanley Smith Barney LLC (CRD#:149777) and UBS Financial Services Inc. [read post]
28 Dec 2020, 1:55 pm
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Frisco, TX, Morgan Stanley Smith Barney (CRD#:149777) and Morgan Stanley & Co. [read post]
17 Dec 2020, 11:35 am
A former South Florida Morgan Stanley Smith Barney broker’s decision to blow the whistle on alleged misconduct has resulted in an almost $1.8 million award from the Securities and Exchange Commission, which said the complaint helped uncover crucial evidence and claw back millions for investors.Represented by James Sallah of Sallah Astarita & Cox, LLC and Scott Silver of Silver Law Group the complaint revolved around a foreign currency trading… [read post]
16 Dec 2020, 10:29 am
Morgan Stanley Smith Barney LLC established the law of the circuit on a nifty issue of subject matter jurisdiction in the context of arbitration. [read post]
15 Dec 2020, 9:45 am
Our client was a financial advisor at broker-dealer Morgan Stanley Smith Barney, LLC (Morgan Stanley). [read post]
23 Oct 2020, 8:03 am
Deependra Logani Morgan Stanley Smith Barney LLC Santander Securities LLC Anthony Mastroianni Jr. [read post]
3 Sep 2020, 8:21 am
Cindy Fuzie Morgan Stanley MML Investors Services, LLC Michael Garris Wells Fargo Clearing Services, LLC Morgan Stanley Smith Barney Rajesh Gupta Morgan Stanley Smith Barney JP Morgan Securities LLC James McEnerney, Jr. [read post]
16 Jun 2020, 7:14 am
Matthew Francis Morgan Stanley Smith Barney Morgan Stanley & Co Incorporated James Heafner Retirement Wealth Advisors, Inc. [read post]
21 May 2020, 7:05 am
According to FINRA Disciplinary actions for February 2020, 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 Cline, Kevin Source Capital Group, Inc Ridgemont Securities, Inc Delaney, Maxwell Brill Securities, Inc National Securities Corporation Henrich, Todd National Securities Corp Obsidian Financial Group … [read post]
20 May 2020, 1:57 pm
Stifel, Nicolus & Company, Inc Sterne, Agee & Leach, Inc Kievman, Cary Ameriprise Financial Services, Inc Morgan Stanley Smith Barney Krupnick, Jeffrey Ameriprise Financial Services, Inc JHS Capital Advisors, LLC Lake, Jonathan Wells Fargo Clearing Services, LLC Morgan Stanley McCutchen, Jerry Sr. [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]
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]
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]
13 Jan 2020, 1:45 pm
Morgan Securities LLC, Morgan Stanley Smith Barney LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc., for failing to ensure asset transfers on legally mandated dates for at least 80,585 accounts. 53,384 of the accounts came from Morgan Stanley and 15,366 accounts came from Merrill Lynch; while, 5,666 accounts were at J.P. [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]
4 Oct 2019, 5:07 am
Morgan Stanley Smith Barney LLC. [read post]
4 Oct 2019, 5:07 am
Morgan Stanley Smith Barney LLC. [read post]
30 Sep 2019, 5:42 am
In May 2019 Moy’s former employer Morgan Stanley Smith Barney, LLC (Morgan Stanley) discharged Moy alleging that he submitted inaccurate information for business expenses, his submission of inaccurate and incomplete information about outside restaurant-related business activities, and his use of firm resources for those outside activities. [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]
