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31 Mar 2010, 9:37 am
The banks named as co-conspirators include JP Morgan Chase & Co, UBS AG, Lehman Brothers Holdings Inc., Bear Stearns Cos., Bank of America Corp, Societe General, Wachovia Corp (bought by Wells Fargo), former Citigroup Inc. unit Salomon Smith Barney, and two General Electric financial businesses. [read post]
2 Apr 2009, 8:36 am
Salomon Smith-Barney, Inc., 218 F.R.D. 149 (S.D. [read post]
30 Mar 2010, 7:54 am
Softlayer Technologies, Inc. et al., 6:09cv269 (March 29, 2010)Judge: Leonard DavisHolding: Defendant's Motion to Dismiss GRANTED; Plaintiff ordered to replead in 15 days Barney and Fred, at it again... [read post]
9 Feb 2016, 7:47 am
Morgan Stanley Smith Barney LLC, February 4, 2016).District court action. [read post]
15 Sep 2017, 11:51 am
Morgan Stanley Smith Barney LLC, which resulted in $13 million in monetary relief for alleged overcharges to clients of more than $16 million and alleged violations of the custody rule and compliance rule. [read post]
20 Sep 2007, 2:50 pm
The NYSE said that the Smith Barney Division of Citigroup Global Markets, Inc. failed to supervise branch offices and financial consultants "who engaged in market timing, including the use of deceptive trading practices to conceal their own identities of their timing customers, as well as their excessive trading. [read post]
1 May 2007, 11:32 pm
"); Prudential-Bache Sec., Inc. v. [read post]
7 Jun 2007, 10:25 pm
"); Prudential-Bache Sec., Inc. v. [read post]
23 Jul 2018, 11:09 am
Previous registrations include Suntrust Investment Services, Inc., Wells Fargo Advisors, LLC, Morgan Keegan & Company, Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. [read post]
3 Aug 2020, 1:36 pm
(CRD# 35844), Salomon Smith Barney Inc. [read post]
23 Jul 2018, 11:09 am
Previous registrations include Suntrust Investment Services, Inc., Wells Fargo Advisors, LLC, Morgan Keegan & Company, Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. [read post]
28 Jun 2019, 6:03 am
The alleged “lost opportunity” damages are too speculative to support a recovery, since a plaintiff cannot be compensated under a fraud cause of action “for what [he] might have gained” (Connaughton v Chipotle Mexican Grill, Inc., 29 NY3d 137, 142 [2017] [internal quotation marks omitted]). [read post]
1 May 2018, 10:57 am
In three different customer disputes from 2002, the Claimants all alleged that Aibel misrepresented a corporate bond to Claimants; each claim occurred while Aibel was employed by Salomon Smith Barney, Inc. [read post]
9 Apr 2011, 8:20 pm
Yves Saint Laurent America Inc., 11-2381, U.S. [read post]
17 Sep 2007, 2:52 am
Barney Frank on September 15, 2007 to be Marked-Up by the House Financial Services on September 18, 200709/14/2007
Letter to Office of Detention and Removal Operations Director John Torres from Rep. [read post]
16 Feb 2010, 5:19 pm
©2010 Amaxx Risk Solutions, Inc. [read post]
28 Jun 2019, 6:03 am
The alleged “lost opportunity” damages are too speculative to support a recovery, since a plaintiff cannot be compensated under a fraud cause of action “for what [he] might have gained” (Connaughton v Chipotle Mexican Grill, Inc., 29 NY3d 137, 142 [2017] [internal quotation marks omitted]). [read post]
4 Nov 2010, 7:31 pm
Spencer Bachus is expected to become chairman of the House Financial Services Committee in January, replacing one of our favorite punching bags, Barney Frank. [read post]
24 Jun 2011, 12:50 am
Salomon Smith Barney, Inc., 530 U.S. 238 (2000), in support of this proposition. [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]
