Search for: "Smith Barney Inc."
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26 Nov 2019, 7:12 am
Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc Shotz, Richard Wells Fargo Clearing Services Morgan Stanley Vaccaro, Anthony Jr. [read post]
21 Feb 2018, 6:40 am
According to his online, public FINRA BrokerCheck report, Parker was previously registered with Dean Witter Reynolds, Thomson McKinnon Securities, Prudential Securities, Painewebber Inc., Salomon Smith Barney, Merrill Lynch and Wells Fargo in Santa Fe, Mexico from September 2008 until December 2017. [read post]
7 Nov 2008, 2:42 pm
The largest brokerages -- Merrill Lynch, Citigroup's Smith Barney and Morgan Stanley -- weren't big distributors of Lehman's notes because they mostly sell their own products, said a person with knowledge of the matter. [read post]
10 Mar 2014, 10:55 am
Roberts within 30 days after service of the award, Respondents Citigroup Global Markets, Inc. and Morgan Stanley Smith Barney, LLC are jointly and severally liable for and shall pay the outstanding sum to Claimants and Respondents Citigroup Global Markets, Inc. and Morgan Stanley Smith Barney, LLC shall be subrogated to Claimants’ rights to the extent of payment. [read post]
31 Aug 2018, 6:12 am
From June 2009 to November 2009, Kuhn was registered with Morgan Stanley Smith Barney. [read post]
28 Sep 2022, 8:06 am
;BofA Securities Inc. together with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
28 Aug 2022, 9:45 am
From March 1994 through September 1997, Serizawa was registered with Smith Barney Incorporated. [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]
24 Jul 2007, 2:06 pm
Two other large retail operations, Citigroup Inc.'s Smith Barney unit and UBS, ranked below average. [read post]
26 Nov 2019, 7:33 am
According to FINRA Disciplinary actions for November 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Ainsworth, Richard Southwest Securities, Inc Morgan Stanley Smith Barney Campbell, Charles A.G. [read post]
30 Apr 2010, 10:26 pm
Bank of America’s Merrill Lynch, Morgan Stanley Smith Barney LLC, and other investment banks are reportedly offering leading brokers up to 300% of the revenue they produced in the last 12 months. [read post]
7 May 2012, 12:09 pm
Salomon Smith Barney, Inc., 39 Ca. 4th 95 (2006), and several other district court decisions, but it is at odds with some other decisions that found the Wiretap Act preempted state law. [read post]
16 Aug 2010, 9:17 pm
Many of these securities victims were clients of large brokerage firms, such as UBS, Citigroup Smith Barney, Wachovia, Linsco Private Ledger LPL, Merrill Lynch, UBS, ING, Stifel, and Gun Allen. [read post]
16 Oct 2012, 4:05 pm
Citi's CEO Pandit exits abruptly after board clash, Reuters, October 16, 2012 Pandit Is Forced Out at Citi, The Wall Street Journal, October 17, 2012 More Blog Posts: Texas Securities Roundup: Morgan Stanley Smith Barney Sued Over Financial Adviser’s Ponzi Scam, Judge Dismisses Ex-GE Executive Whistleblower’s Lawsuit Over His Firing, & Ex-Stanford Financial Group CIO Pleads Guilty to Obstructing the SEC’s Probe, Stockbroker Fraud Blog, July 3, 2012 … [read post]
17 Sep 2007, 1:25 am
All Funds on Deposit at: Citigroup Smith Barney Account No. 600-00338U.S. [read post]
31 May 2007, 9:45 am
The deal will cause Wachovia to surpass Citigroup's Smith Barney brokerage unit in number of representatives as well as Ameriprise Financial, which claimed to be third. [read post]
2 Jun 2010, 7:06 am
If even Barney’s against it, maybe it’s not a good idea. [read post]
23 Feb 2007, 8:42 am
The SEC reached a settlement with Smith Barney regarding shelf space payments in 2005, after accusing the firm of not providing enough information regarding the "magnitude of revenue sharing payments" with their disclosures. [read post]
20 Sep 2007, 2:50 pm
Also in July, the New York Stock Exchange hit Smith Barney with a $50 million fine for charges centered around market timing activities. [read post]
23 Oct 2020, 8:03 am
Deependra Logani Morgan Stanley Smith Barney LLC Santander Securities LLC Anthony Mastroianni Jr. [read post]
