Search for: "Barneys Inc"
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14 Nov 2011, 8:32 am
Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal bond transactions, and related supervision violations. [read post]
11 Nov 2011, 10:03 am
Inc., and its subsidiary Morgan Stanley Smith Barney LLC, have been fined $1 million and censured by the Financial Industry Regulatory Authority, or FINRA, for excessive markups and markdowns that were charged to customers on corporate and municipal bond transactions. [read post]
10 Nov 2011, 12:52 pm
Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal... [read post]
10 Nov 2011, 12:52 pm
Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal... [read post]
8 Nov 2011, 5:46 am
” Barney Greengrass, Inc. v. [read post]
31 Oct 2011, 1:55 pm
., chair of the House Financial Services Committee, and Barney Frank, D-Mass., ranking member of the committee, expressing its grave concerns. [read post]
5 Oct 2011, 3:11 am
Secret Memo Tells All - http://bit.ly/qgTTf1 (David Kravets) Why Twitter is Important for the Financial Professional - http://bit.ly/nGuCB4 (Mike Langford) Wrong Way: Technology and People Can Crash During Trials - http://bit.ly/qLfJ6i (Robyn Weisman) Twitter Hashtags of the Week #eDiscovery #eDisclosure #Masters11 #EDI2011 Vendor Views Industry Landscape AccessData® Announces Computer Forensics Software Replacement Program - http://bit.ly/oNYbcI (Business Wire) Altep, Inc. to… [read post]
3 Oct 2011, 12:30 pm
His employer at the time was Salomon Smith Barney. [read post]
22 Sep 2011, 1:30 pm
The lawsuit, filed in 2005, alleges various misrepresentation by an investment advisor for certain Smith Barney mutual funds, which later were acquired by Citigroup Inc. [read post]
20 Sep 2011, 1:26 pm
Solomon Smith Barney, Inc., 530 U.S. 238 (2001). [read post]
15 Sep 2011, 12:10 pm
Morgan Stanley Smith Barney, or more accurately, its predecessor Morgan Stanley andamp; Co., the Morgan Stanley part of the June 2009 joint venture with Morgan Stanley andamp; Co. and the Smith Barney division of Citigroup Global Markets, Inc., is no stranger to e-mail problems. [read post]
1 Sep 2011, 2:05 pm
Saloman Smith Barney, Inc., 530 U.S. 238 to support its argument in Cyr. [read post]
1 Sep 2011, 11:58 am
However, according to his Public Disclosure Records, it appears that Citigroup, now Morgan Stanley Smith Barney, is vigorously defending claims brought by its customers relating to Singerandrsquo;s conduct. [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]
2 Aug 2011, 3:17 pm
Regina, wife of/and Barney Core, Smith and Core, Inc., et al., State of Louisiana Court of Appeals, First Circuit, 2010 CA 1961. [read post]
25 Jul 2011, 1:16 pm
Akin Gump lobbyists Joel Jankowsky, Lori Kreloff, Roger Murry, Arshi Siddiqui, John Simmons, Barney Skladany and Valerie White represented the Coalition for 21st Century Patent Reform. [read post]
30 Jun 2011, 3:31 am
Yves Saint Laurent America Inc., 11-2381, U.S. [read post]
29 Jun 2011, 7:16 pm
Laura Cyr was covered under a group long-term disability plan provided by her employer, Channel Technologies, Inc. [read post]
29 Jun 2011, 8:15 am
Salomon Smith Barney, Inc., 530 U.S. 238 (2000), the Supreme Court addressed a similar question of who can be sued under a similar statute, 29 U.S.C. [read post]
27 Jun 2011, 12:02 pm
Salomon Smith Barney, Inc., 530 U.S. 238 (2000), the Supreme Court had addressed the question of who can be sued under a different subsection of Section 1132(a), specifically subsection 1132(a)(3). [read post]
