Search for: "Smith Barney"
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16 Aug 2006, 8:03 pm
The New York Law Journal has an article (via law.com) in its August 14 edition discussing the dismissal of the federal securities claims in the Salomon Smith Barney mutual fund fees litigation. [read post]
31 Jan 2013, 4:26 am
In the Matter of the FINRA Arbitration Between Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barne... [read post]
1 Mar 2010, 5:52 am
Smith Barney Fund Management LLC, No. 07-5125-cv, 2010 WL 520896 (2d Cir. [read post]
2 Oct 2014, 6:28 am
Shannon, of Santa Barbara, California, formerly of Morgan Stanley Smith Barney. [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, finding… [read post]
29 Nov 2011, 12:23 pm
Really not much of a Barney Frank fan am I. [read post]
4 Oct 2019, 5:07 am
Morgan Stanley Smith Barney LLC. [read post]
13 Jul 2018, 6:48 am
If you have questions or concerns regarding investments made with Barry Connell and Morgan Stanley Smith Barney, the securities attorneys of The White Law Group may be able to help. [read post]
12 Mar 2012, 5:54 am
Whether an employee of Merrill Lynch, Smith Barney, Bear Stearns, Lehman Brothers, Wachovia, UBS, Morgan Stanley, JP Morgan or any number of former or current brokerage firms, the inevitable rounds of lay-offs and firm failures play havoc with the registrations of the industry? [read post]
4 Feb 2011, 2:43 am
Morgan Stanley Smith Barney recently reported that the business-cycle recovery of the global economy that began in the summer of 2009 is now over. [read post]
1 Feb 2021, 2:02 pm
(CRD#:8174), both of San Francisco, and Smith Barney Shearson Inc. [read post]
29 Mar 2021, 2:02 pm
(CRD#:8174), both of San Francisco, and Smith Barney Shearson Inc. [read post]
22 Aug 2012, 1:09 am
See In re Smith Barney Transfer Agent Litig., No. 05 Civ. 7583 (WHP) (decision available here). [read post]
21 Aug 2017, 5:00 am
File no. 3-17808 (Jan. 24, 2017), and In the Matter of Morgan Stanley Smith Barney LLC, SEC, Admin. [read post]
23 Jun 2011, 8:42 pm
Lamar Smith seemed to cite Raich in his confused justification for refusing to let his committee consider the proposed legalization bill. [read post]
27 Oct 2010, 4:31 am
We have always represented advisers who are changing firms, but with the mergers of Merrill Lynch and Smith Barney into their former competitors, there has been a significant increase in these matters. [read post]
28 Aug 2012, 3:15 pm
Morgan Stanley and Citigroup have agreed to give a third party more time to appraise the value of their brokerage joint venture and settle a dispute between the two financial firms. [read post]
17 Jul 2007, 4:37 am
Regulators said the brokers, who used to work at a Smith Barney branch in Short Hills, N.J., engaged in [...] [read post]
17 Nov 2010, 10:33 am
The upheaval in the financial industry has prompted long time brokers in the full-service brokerage firms like Morgan Stanley Smith Barney, Bank of America Merrill Lynch, and UBS Wealth Management Americas to make a break for independence. [read post]
3 Mar 2008, 10:19 am
Citi's Smith Barney unit, long thought of as a candidate for spinning off, will instead be combined with its small private bank and [...] [read post]
