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16 Jan 2012, 1:53 pm
” And it called for additional online discussion and public input concerning how best to proceed.Meanwhile, in the House, Judiciary Chairman and SOPA author Lamar Smith (R-TX) announced that he would drop DNS-filtering from SOPA. [read post]
16 Jan 2012, 9:47 am
Black, Jr., Stanley H. [read post]
14 Jan 2012, 8:52 am
This will rank it third behind Morgan Stanley Smith Barney and just under Bank of America Corp.'s (BAC) Merrill Lynch. [read post]
10 Jan 2012, 7:42 am
While it does not appear that Merrill’s move on account minimums has yet to be followed by its large-firm competitors, such as Morgan Stanley Smith Barney, and UBS, it would not be surprising to see the entire industry shift this way as a necessary means to increase profitability. [read post]
9 Jan 2012, 7:41 pm
Eric Grossman, who joined from Davis Polk in 2006, was General Counsel of the Americas, Global Head of Litigation and General Counsel of Morgan Stanley Smith Barney. [read post]
7 Jan 2012, 3:13 pm
The other financial firms, ranking in the order that follows, are Charles Schwab, TD Ameritrade, Etrade, Fidelity Brokerage Services, WellsTrade (Wells Fargo), Merrill Edge/Bank of America, and Morgan Stanley Smith Barney LLC. [read post]
28 Dec 2011, 1:50 pm
Morgan Stanley Smith Barney adviser Mark Scribner one day noticed that a business acquaintance he hadn’t spoken to in 15 years had checked out his LinkedIn profile. [read post]
27 Dec 2011, 10:19 am
Here are previous years’ Top Ten Legal Ethics Stories Lists: 2004, 2005, 2006, 2007, 2008, 2009 and 2010. [read post]
23 Dec 2011, 12:29 am
In the Summer Dave and David Smith posted about the case of Kinnear v Whittaker in the High Court. [read post]
6 Dec 2011, 4:46 pm
Patricia Smith, MSHA Assistant Secretary Joseph A. [read post]
26 Nov 2011, 7:08 pm
Shepherd Smith Edwards and Kantas LLP represents institutional and individual investors throughout the US. [read post]
23 Nov 2011, 3:32 pm
As of October of 2011, as a result of the “bailouts,” Goldman Sachs still owes U.S. taxpayers $12.9 billion, JPMorgan Chase owes us $32 billion, Morgan Stanley owes us $25.5 billion, and Bank of America owes us $19.7 billion. [read post]
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]
