Search for: "Stanley R Smith"
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25 Jul 2016, 3:05 pm
Manougian left Morgan Stanley Smith Barney “after allegations. [read post]
19 Jul 2016, 5:00 am
Increased focus on cybersecurity by the Security Exchange Commission’s (“SEC”) continues as it recently issued charges against Morgan Stanley Smith Barney (“Morgan Stanley”) for failing to adopt written policies and procedures reasonably designed to protect confidential client information. [read post]
30 Jun 2016, 9:29 am
The Securities and Exchange Commission’s (“SEC”) recent $1 million settlement with Morgan Stanley Smith Barney LLC (“MSSB”) marked a turning point in the agency’s focus on cybersecurity issues, an area that the agency has proclaimed a top enforcement priority in recent years. [read post]
29 Jun 2016, 2:02 pm
Gioffre was employed by Morgan Stanley Smith Barney from June 2009 to June 2014 and was discharged from this firm amid allegations of “fee reversals in [his] personal Morgan Stanley account, continuing to maintain a pre-existing outside investment that never received written approval from the firm, and fund transfers between [his] personal Morgan Stanley account and the accounts of family members. [read post]
16 Jun 2016, 2:48 pm
BACKGROUND Last week the SEC issued a settled administrative order finding that Morgan Stanley Smith Barney (now rebranded as Morgan Stanley Wealth Management) failed to adopt written policies and procedures reasonably designed to protect customer data. [read post]
10 Jun 2016, 7:12 am
The Securities and Exchange Commission (SEC) recently announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information, some of which was hacked and offered for sale online. [read post]
9 Jun 2016, 3:28 pm
In a June 8, 2016 press release (here), the agency announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
8 Jun 2016, 9:53 am
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information, some of which was hacked and offered for sale online. [read post]
19 May 2016, 7:43 am
CO: Jason Sloan, Kevin Amer, Regan Smith, Abi Mosheim Smith: 1201 is part of DMCA; Congress recognized that TPMs could be deployed not only to prevent piracy but also support new ways of dissemination of © material to users digitally. [read post]
15 May 2016, 3:04 pm
Morgan Stanley Smith Barney LLC. [read post]
26 Apr 2016, 2:35 am
Regardless of where your sympathies lie, today's BrokeAndBroker.com Blog presents a recent battle between Morgan Stanley Smith Barney and one of its former registered reps who departed for the purportedly sunnier climes of LPL. [read post]
25 Mar 2016, 7:00 am
A former risk officer at Morgan Stanley Smith Barney LLC has filed suit claiming he was fired for reporting a variety of infractions by the firm's registered representatives, including the churning of preferred securities by a star broker the firm recruited last year from rival Bank of America Merrill Lynch.Chief among the claims was that late last year, he discovered that one of the firm's newest wealth managers “was flipping preferred securities in a manner that… [read post]
8 Mar 2016, 1:08 pm
On February 22, 2016, a Financial Industry Regulatory Authority (“FINRA”) panel (the “Panel”) rendered an award (the “Award”) dismissing Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barney FA Notes Holding, LLC’s (collectively “Morgan Stanley”) promissory note claim against one of its registered representatives, Brandon Neal (“Neal”), and granting Neal’s counterclaims,… [read post]
26 Jan 2016, 4:14 am
Three public customers sued FINRA member firm Morgan Stanley Smith Barney for $1.28 million in damages. [read post]
3 Jan 2016, 4:32 am
Thereafter, from June 2009 through September 2009, Giusti was briefly associated with Morgan Stanley Smith Barney. [read post]
22 Dec 2015, 8:29 am
Morgan Stanley Smith Barney LLC et al., 3:15-cv-00074 (E.D. [read post]
11 Dec 2015, 10:21 am
").But I did some research about Trump and love, and I came up with this Ben Smith piece, "I Asked A Psychoanalyst To Explain Donald Trump/'He actually, believe it or not, he has a need to be liked.'"Stanley Renshon is a sweater-wearing Freudian psychoanalyst who has made a sideline through the years of painstaking psychobiographies of American presidents.... [read post]
9 Dec 2015, 5:00 am
After the Morgan Stanley takeover, his loans were moved to another part of the operation, costing him millions of dollars in revenue.I see this far too often. [read post]
10 Nov 2015, 2:18 pm
In the brokerage firm context, the ones that are regulated by FINRA, again, your Morgan Stanley, your Merrill Lynch, your Smith Barney, etc., in that context, there are two models. [read post]
9 Nov 2015, 7:09 am
Because doing the job right would require research well beyond prescription medical products, we looked for research help, and enterprising (pun intended) Reed Smith associate Kevin Hara stepped up to handle the initial spadework. [read post]
