Search for: "MORGAN STANLEY SMITH BARNEY"
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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]
13 Feb 2009, 4:13 am
Before the ink on is even dry on the deal to create the joint venture between Morgan Stanley and Citigroup's Smith Barney, some of the two brokerages' top performers are already heading for the exits, The New York Post reported. [read post]
20 Jul 2007, 7:57 am
Morgan Stanley, Lehman Brothers and Smith Barney recently forbade employees from entertaining clients at the Hawaiian Tropic Zone, a Times Square restaurant where the waitresses wear bikinis. [read post]
3 Sep 2020, 8:21 am
Cindy Fuzie Morgan Stanley MML Investors Services, LLC Michael Garris Wells Fargo Clearing Services, LLC Morgan Stanley Smith Barney Rajesh Gupta Morgan Stanley Smith Barney JP Morgan Securities LLC James McEnerney, Jr. [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… [read post]
22 Apr 2018, 4:34 am
In the Matter of the Arbitration Between Morgan Stanley Smith Barney, LLC. [read post]
19 Dec 2018, 12:03 pm
In the Matter of Morgan Stanley Smith Barney LLC, Respondent (AWC 2014040051801, December 26, 2018). [read post]
24 Jan 2017, 11:54 am
At the time, Citigroup held a 49 percent ownership interest in Morgan Stanley Smith Barney and representatives at both firms were pitching the foreign exchange trading program. [read post]
19 Apr 2019, 5:39 am
According to FINRA Disciplinary actions for March 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 Barrera, Cynthia Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Beyn, Edward Rothchild Lieberman LLC Craig Scott Capital Blanchard, Keith … [read post]
21 Jul 2020, 4:30 am
Before that, Mike Carter was a broker with Morgan Stanley Smith Barney for almost two years between June 2009 and May 2011. [read post]
21 Jul 2020, 4:30 am
Before that, Mike Carter was a broker with Morgan Stanley Smith Barney for almost two years between June 2009 and May 2011. [read post]
16 Nov 2010, 3:16 am
Rodney Gray and Morgan Stanley Smith Barney, LLC and is currently pending in the U. [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]
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]
24 Aug 2015, 7:16 am
(King) concerning allegations that from July 2009, through November 2012, while King was registered Morgan Stanley Smith Barney LLC (Morgan Stanley) and later Wells Fargo Advisors, LLC (Wells Fargo), circumvented Wells Fargo’s policies and procedures by assisting another broker in concealing nearly $400,000 in loans to three firm customers, loaned $25,000 to a customer without permission, participated in an undisclosed private securities… [read post]
7 May 2013, 2:47 pm
FINRA recently announced that John Melton Hackbarth (a financial advisor that was formerly registered with Morgan Stanley Smith Barney in Birmingham, Alabama) has been barred from association with any FINRA member in any capacity. [read post]
4 Oct 2019, 5:07 am
Morgan Stanley Smith Barney LLC. [read post]
1 May 2014, 6:40 am
As such, Respondent is liable for and shall pay to Claimant the amount of $237,326.00 minus $40,000.00 awarded to Respondent, for a net amount due to Claimant of $197,326.00. 11-03662 Morgan Stanley Smith Barney LLC; Morgan Stanley Smith Barney FA Notes Holdings LLC, Morgan Stanley & Co., LLC John Darold Simmons Respondent to pay $546,336.00 in compensatory damages, which amount includes pre-judgment… [read post]
3 Jul 2009, 11:11 am
" Many anticipate that additional Smith Barney brokers will leave as the dust starts settling from the Morgan Stanley/Smith Barney joint venture. [read post]
5 Nov 2013, 6:03 am
From January 2003 through the end of 2012, Morgan Stanley enticed over 30,000 customers to invest $797 million collectively into a managed-futures fund called Morgan Stanley Smith Barney Spectrum Technical L.P. [read post]
