Search for: "Smith Barney"
Results 61 - 80
of 621
Sorted by Relevance
|
Sort by Date
23 Sep 2011, 2:59 pm
In a strange story, a court in the S.D.N.Y. has dismissed the lead plaintiff from a securities class action brought against Smith Barney Fund Management and Citigroup Global Markets because, after six years of litigation, it was revealed that the... [read post]
1 Apr 2010, 3:15 am
Morgan Stanley Smith Barney is suing a former St. [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]
30 Aug 2010, 2:42 am
Bank of America's Merrill Lynch is generating more profit with fewer people than the business Morgan Stanley formed by buying a controlling stake in a venture with Citigroup's Smith Barney, Bloomberg News reported. [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]
25 Jul 2012, 4:31 pm
The investment bank Perella Weinberg Partners has been called in to mediate as Morgan Stanley wrangles with Citigroup over how to value a unit they jointly own, Morgan Stanley Smith Barney. [read post]
8 Jul 2010, 3:11 am
JPMorgan Chase is suing a former financial adviser who defected to Morgan Stanley Smith Barney and has already transferred $30 million of client assets to his new company, Reuters reported. [read post]
24 Apr 2011, 11:41 pm
In a case involving Citigroup's Smith Barney unit, arbitrators say the financial crisis cannot be blamed for all losses, Gretchen Morgenson writes in The New York Times. [read post]
25 Jul 2012, 4:31 pm
The investment bank Perella Weinberg Partners has been called in to mediate as Morgan Stanley wrangles with Citigroup over how to value a unit they jointly own, Morgan Stanley Smith Barney. [read post]
20 Jun 2011, 5:58 pm
District Court for the Central District of California, federal law preempts would-be class claims accusing Morgan Stanley Smith Barney LLC of having insider trading detection and deterrent policies that are illegal under California labor and unfair competition statutes. [read post]
29 Mar 2011, 1:32 pm
The new head of Morgan Stanley's brokerage unit, Greg Fleming, talks to CNBC about how his group fits into the broader company -- and what the market environment means for business. [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]
17 Dec 2006, 3:57 pm
Salomon Smith Barney, Inc. (2006), two California employees of WorldCom filed a class action lawsuit against the brokerage firm Salomon Smith Barney ("SSB") whose Atlanta, Georgia, office handled financial matters for WorldCom employees. [read post]
2 Jul 2018, 7:22 am
Morgan Stanley Smith Barney LLC, Defendant/Appellee (Opinion, July 2, 2018)http://www.brokeandbroker.com/PDF/Ploetz8Cir.pdfPloetz filed a FINRA Arbitration claim against Morgan Stanley Smith Barney LLC, alleging that Morgan Stanley had transferred funds from the account without authorization. [read post]
13 Jan 2009, 4:23 am
But on Monday, as the struggling financial giant moved toward a deal with Morgan Stanley for its Smith Barney brokerage unit, all the old demons returned, The New York [...] [read post]
9 Dec 2016, 1:01 pm
I reconnected with a colleague that I had not talked to in a few years because he remembered that when I left Smith Barney I was focusing on women investors. [read post]
15 May 2011, 8:48 am
Elias, former registered representatives of Salomon Smith Barney, Inc., and sustained the censures NYSE imposed against Spartis and Elias for misleading marketing materials sent to employees... [read post]
1 Jul 2010, 3:38 am
Morgan Stanley hired 100 private bankers and may quintuple their numbers by the end of 2011 to offer more products such as jumbo mortgages and structured loans to Morgan Stanley Smith Barney clients, Bloomberg News reported, citing a person with knowledge of the strategy. [read post]
20 Mar 2009, 4:54 am
Gary Crittenden will take on the newly created role of chairman of Citi Holdings, which includes its Smith Barney brokerage business. [read post]
13 Jan 2012, 5:13 pm
A S.D.N.Y. court dismissed the lead plaintiff from a securities class action brought against Smith Barney Fund Management and Citigroup Global Markets because, after six years of litigation,... [read post]
