Search for: "MORGAN STANLEY SMITH BARNEY"
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20 Sep 2016, 12:00 am
The SEC announced in a press release dated June 8, 2016 that Morgan Stanley Smith Barney, LLC has agreed to pay a $1 million penalty to settle charges relating to alleged failures to protect confidential customer information. [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]
2 Aug 2016, 2:38 pm
Clair, a NFL player, were on the receiving end of an $819,000 arbitration award against Morgan Stanley Smith Barney. [read post]
25 Jul 2016, 3:05 pm
Manougian left Morgan Stanley Smith Barney “after allegations. [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]
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]
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]
29 Jun 2016, 2:02 pm
Gioffre was employed by Morgan Stanley Smith Barney from June 2009 to June 2014 and was discharged from this firm amid allegations of “fee reversals in [his] personal Morgan Stanley account, continuing to maintain a pre-existing outside investment that never received written approval from the firm, and fund transfers between [his] personal Morgan Stanley account and the accounts of family members. [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]
10 Jun 2016, 7:12 am
The Securities and Exchange Commission (SEC) recently announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information, some of which was hacked and offered for sale online. [read post]
9 Jun 2016, 3:28 pm
In a June 8, 2016 press release (here), the agency announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
8 Jun 2016, 9:53 am
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information, some of which was hacked and offered for sale online. [read post]
15 May 2016, 3:04 pm
Morgan Stanley Smith Barney LLC. [read post]
2 May 2016, 6:16 pm
Lopez has represented clients against some of the largest financial institutions including Merrill Lynch, Morgan Stanley, UBS Paine Webber, Salomon-Smith Barney, CitiGroup, Credit Suisse First Boston and Prudential Securities. [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]
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]
8 Mar 2016, 1:08 pm
On February 22, 2016, a Financial Industry Regulatory Authority (“FINRA”) panel (the “Panel”) rendered an award (the “Award”) dismissing Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barney FA Notes Holding, LLC’s (collectively “Morgan Stanley”) promissory note claim against one of its registered representatives, Brandon Neal… [read post]
9 Feb 2016, 7:47 am
Morgan Stanley Smith Barney LLC, February 4, 2016).District court action. [read post]
26 Jan 2016, 4:14 am
Three public customers sued FINRA member firm Morgan Stanley Smith Barney for $1.28 million in damages. [read post]
