Search for: "Stanley R Smith"
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8 May 2020, 6:31 am
SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via EmailIn the Matter of Sune Gaulsh, Respondent (FINRA AWC)FINRA Imposes Fine and Suspension for Rep's Fraternal Benefit Society Short-cutIn the Matter of Robert Nordaune, Respondent (FINRA AWC)CityMD mistakenly told… [read post]
22 Dec 2015, 8:29 am
Morgan Stanley Smith Barney LLC et al., 3:15-cv-00074 (E.D. [read post]
27 Feb 2012, 8:36 am
Lamar Smith (R-TX) and passed out of the House Judiciary Committee in July. [read post]
7 Jan 2013, 4:05 am
Bradley Wendel, Elizabeth R. [read post]
15 May 2016, 3:04 pm
Morgan Stanley Smith Barney LLC. [read post]
23 Feb 2012, 7:26 am
According to various reports, a broker formally affiliated with Morgan Stanley Smith Barney, LLC, Berthel Fisher & Co., and LPL Financial was recently arrested in Oregon for allegedly stealing $584,000 from three investors. [read post]
13 Aug 2018, 8:15 am
At issue was a somewhat run-of-the-mill employment dispute in which an associated person sought six-figures in damages from his former employer Morgan Stanley Smith Barney. [read post]
14 Aug 2018, 12:26 pm
Morgan Stanley Smith Barney LLC, John Joseph Biondo, Jr., and William Michael Peragine, III, Respondents (FINRA Arbitration 15-03434, August 10, 2018) http://www.finra.org/sites/default/files/aao_documents/15-03434.pdf In response to ... [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]
28 Feb 2012, 5:47 am
I recently received an email from The Kelly Group at Morgan Stanley Smith Barney with some good practical advice on a financial checkup that everyone should do once a year. [read post]
1 Jun 2017, 8:33 am
Smith v. [read post]
15 Mar 2012, 9:22 am
Jones & Co asserted the following causes of action against Respondents Morgan Stanley Smith Barney (? [read post]
6 Sep 2016, 7:23 am
Parthemer was registered with Wells Fargo Advisors in Fort Lauderdale, FL from10/2011 – 05/2015 and was registered with Morgan Stanley Smith Barney in Fort Lauderdale, FL from 06/2009 – 11/2011. [read post]
16 Oct 2013, 11:45 am
The investigation also includes investments in the Managed futures Premier BHM Fund, Morgan Stanley Smith Barney Spectrum Strategic Fund, grant Park Futurs Fund LP, Systematic Momentum Futures Access, RJO Global Trust and Altegris Winton Futures Fund. [read post]
10 Aug 2011, 6:19 pm
(Smith Barney is a division of Citigroup Global Markets, Inc. and is now doing business as part of Morgan Stanley Smith Barney, LLC.) [read post]
7 Apr 2015, 5:59 am
Stoll was photographed in 2014 following the Stanley Cup victory partying at the Las Vegas MGM Grand with the Stanley Cup. [read post]
22 Dec 2010, 3:30 am
Inc., Morgan Stanley DW, Inc. and Morgan Stanley Smith Barney LLC-- failed to pay their broker assistants overtime wages, compensation for missed meal and rest breaks, and failed to furnish itemized wage statements accurately reflecting the hours worked as required under the California labor law. [read post]
9 Oct 2023, 3:31 pm
(R) 14th District: Linda Greenstein (D) 15th District: Shirley Turner (D) 16th District: Andrew Zwicker (D) 17th District: Bob Smith (D) 18th District: Patrick Diegnan Jr. [read post]
8 Nov 2023, 1:02 pm
(R) 14th District: Linda Greenstein (D) 15th District: Shirley Turner (D) 16th District: Andrew Zwicker (D) 17th District: Bob Smith (D) 18th District: Patrick Diegnan Jr. [read post]
27 Jul 2017, 7:13 am
He worked at several firms over the years, including Prudential Securities, Lehman Brothers, Smith Barney, Dean Witter and UBS, according to his BrokerCheck report. [read post]
