Search for: "MORGAN STANLEY SMITH BARNEY"
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9 Dec 2013, 8:29 am
In the second amendment in three years following the Smith Barney acquisition, Morgan Stanley is raising revenue bands by 10% for advisors bringing in under $2.5 million. [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]
30 Aug 2023, 10:13 am
Morgan Stanley Smith Barney, LLC – FINRA Case No. 21-00203, click here. [read post]
13 Jan 2020, 1:45 pm
Morgan Securities LLC, Morgan Stanley Smith Barney LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc., for failing to ensure asset transfers on legally mandated dates for at least 80,585 accounts. 53,384 of the accounts came from Morgan Stanley and 15,366 accounts came from Merrill Lynch; while, 5,666 accounts were at J.P. [read post]
4 Apr 2013, 6:24 am
Morgan Stanley Smith Barney, LLC, Case No. [read post]
4 Oct 2019, 5:07 am
Morgan Stanley Smith Barney LLC. [read post]
10 Jan 2019, 8:47 am
Now, a FINRA arbitration panel is ordering Morgan Stanley Smith Barney LLC to pay retired NFL player Asante Samuel and Mega Millions lottery winner James Grove $879K and $3.3M, respectively, in separate claims but once again involving Parthemer. [read post]
6 Mar 2020, 1:30 am
Morgan Stanley Smith Barney LLC, Defendant (Final Approval Order, United States District Court for the Northern District of California)Justice Department Wins Historic Arbitration of a Merger Dispute / Novelis Inc. [read post]
7 Oct 2016, 12:49 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The state of Massachusetts has charged Morgan Stanley Smith Barney for conducting a sales contest among its financial advisers to encourage clients to borrow money against their brokerage accounts. [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]
6 Oct 2022, 5:29 am
According to court documents, Good was employed as a registered representative and investment advisor for Morgan Stanley Smith Barney, LLC in Wilmington. [read post]
7 Apr 2014, 7:01 am
The law offices of Gana LLP recently filed a complaint against RBC Capital Markets, LLC (RBC) and Morgan Stanley Smith Barney, LLC (Morgan Stanley) accusing their registered representative Bruce Weinstein (Weinstein) of churning (excessive trading) and making unsuitable recommendations. [read post]
16 Oct 2012, 1:59 pm
Morgan Stanley Smith Barney LLC and Brian Wilder (FINRA Arbitration No. 11-03937), a FINRA arbitration panel found against respondents and annexed a 25 page Arbitrators' Report to the Award which excoriated respondents for misappropriation of trade secrets (Fidelity's customer list) among other violations. [read post]
8 Aug 2012, 4:01 pm
(As of the end of June 2012, Morgan Stanley Smith Barney had 740 offices. [read post]
10 Aug 2018, 11:07 am
(CRD #7556) of Boston, MA, Smith Barney Inc. [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]
26 Sep 2022, 8:00 am
On September 20, 2022, the SEC fined financial services giant Morgan Stanley Smith Barney (“MSSB”) $35 million for failing to adequately protect its customer’s records and personal identifying information (“PII”). [1] The fine was entered via a settlement between the SEC and MSSB, through which MSSB has agreed to pay a civil penalty for the SEC’s charges without admitting to nor denying the violations. [2] MSSB is a subsidiary… [read post]
10 Apr 2023, 4:02 am
Morgan Stanley Smith Barney, LLC... [read post]
19 Dec 2018, 12:05 pm
It's a demand by public customers for $7.8 million in damages from Morgan Stanley Smith Barney and Wells Fargo Advisors. [read post]
7 Jul 2016, 5:03 pm
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]
