Search for: "STANLEY SMITH"
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18 Nov 2011, 4:00 pm
The Stop Online Piracy Act (SOPA), a controversial bill before the House of Representatives aimed at combating “rogue websites,” isn’t just about criminal, foreign-based sites that break U.S. intellectual property laws with impunity. [read post]
17 Nov 2011, 5:26 pm
SEC Charges Morgan Stanley Investment Management for Improper Fee Arrangement, SEC, November 16, 2011 SEC charges Morgan Stanley Investment Management with violations, Miami Herald, November 16, 2011 More Blog Posts: Retirement Fund’s CDO Lawsuit Against Morgan Stanley is Dismissed by District Court, Institutional Investor Securities Fraud, October 27, 2011 Morgan Stanley Faces $1M FINRA Fine for Excessive Markups and Markdowns on Corporate and Municipal… [read post]
15 Nov 2011, 9:54 am
The attorneys at Eccleston Law have launched an investigation of former Morgan Stanley Smith Barney and Dimensions Financial Group representative Eric T. [read post]
14 Nov 2011, 8:32 am
Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal bond transactions, and related supervision violations. [read post]
11 Nov 2011, 10:03 am
As indicated by the AWC, Morgan Stanley Smith Barney LLC will revise its written supervisory procedures pertaining to the review of markups and markdowns in fixed-income transactions with its customers. [read post]
11 Nov 2011, 5:40 am
The Financial Industry Regulatory Authority (FINRA) has fined Morgan Stanley Smith Barney (Morgan Stanley) $1 million and ordered restitution for excessive markups and markdowns charged to customers on bond transactions. [read post]
10 Nov 2011, 12:52 pm
Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal... [read post]
10 Nov 2011, 12:52 pm
Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal... [read post]
31 Oct 2011, 3:09 pm
Adam Levitin, Yves Smith, Gretchen Morgenson, David Dayden, and others are rightfully angry. [read post]
26 Oct 2011, 11:44 pm
Shepherd Smith Edwards and Kantas founder and securities fraud attorney William Shepherd said, “Our law firm has been successful in maintaining similar cases in arbitration or state courts. [read post]
21 Oct 2011, 4:59 pm
., Merrill Lynch, Pierce, Fenner & Smith, Inc., and Morgan Stanley & Co., Inc., (the Firms) sued news aggregator (pdf) Theflyonthewall.com (Fly) for copyright infringement and for committing the New York state law tort of “hot news” misappropriation. [read post]
16 Oct 2011, 5:59 am
" Zach Quinto; Stanley Tucci. [read post]
5 Oct 2011, 3:11 am
http://bit.ly/n356E4 (Julie Hilden) Steps to Protect Your Blog From Liability - http://bit.ly/o1kh5C (Jonathan Bick) The ALL CAPS Defense to Defamation - http://bit.ly/qKfGzl (Eric Johnson) The Answer To Soaring eDiscovery Costs - http://bit.ly/qPosbt (Kelli Brooks) The Case for Bringing Predictive Coding to Court - http://bit.ly/pDTJiw (Monica Bay) The Dance: Resolving Form Disputes Early Avoids Litigation Missteps - http://bit.ly/oelaJ3 (Craig Ball) The Future of eDiscovery: Top Ten Trends and… [read post]
22 Sep 2011, 1:30 pm
Stanley D. [read post]
15 Sep 2011, 12:10 pm
Morgan Stanley Smith Barney, or more accurately, its predecessor Morgan Stanley andamp; Co., the Morgan Stanley part of the June 2009 joint venture with Morgan Stanley andamp; Co. and the Smith Barney division of Citigroup Global Markets, Inc., is no stranger to e-mail problems. [read post]
14 Sep 2011, 10:38 am
" Smith v. [read post]
14 Sep 2011, 5:38 am
” Smith v. [read post]
14 Sep 2011, 5:38 am
” Smith v. [read post]
7 Sep 2011, 1:07 pm
SMITH, EDITOR ; WITH A FOREWORD BY ANTONIO LAMER Markham, Ont: LexisNexis Butterworths, 2003 KE448 R84 2003 See Catalog Collective bargaining -- Canada CANADIAN COLLECTIVE BARGAINING LAW / W.B. [read post]
1 Sep 2011, 11:58 am
However, according to his Public Disclosure Records, it appears that Citigroup, now Morgan Stanley Smith Barney, is vigorously defending claims brought by its customers relating to Singerandrsquo;s conduct. [read post]
