Search for: "MORGAN STANLEY SMITH BARNEY"
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15 May 2016, 3:04 pm
Morgan Stanley Smith Barney LLC. [read post]
31 Jan 2017, 12:06 pm
His most recent registration was with Morgan Stanley in New York. [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]
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]
5 Jun 2024, 12:22 pm
Finley, II, (“William”), as the sole beneficiary of her … retirement plan accounts (collectively referred to as “the accounts”) held by the investment firm Morgan Stanley Smith Barney (“Morgan Stanley”). [read post]
3 May 2024, 11:49 am
Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barney Financing, LLC filed an arbitration action against Adusei for breach of promissory note. [read post]
23 May 2014, 11:02 am
Authored by Caitlin Ladd Employers with commissioned employees will be pleased with a new decision finding that Morgan Stanley Smith Barney’s approach to commission calculations was not an improper deduction from wages under the New York Labor Law. [read post]
7 Aug 2009, 2:22 pm
Investors are leaving big, full service firms like Morgan Stanley Smith Barney and Bank of American Merrill Lynch, and investing their money through online discount firms like Schwab and TD Ameritrade, according to a recent CNBC.com article called "Investors Dump Brokers to Go It Alone. [read post]
15 Mar 2012, 9:22 am
Jones & Co asserted the following causes of action against Respondents Morgan Stanley Smith Barney (? [read post]
7 Mar 2022, 7:24 am
His previous employer employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Miamisburg, OH, Morgan Stanley Smith Barney (CRD#:149777) and Citigroup Global Markets Inc. [read post]
8 Mar 2021, 7:24 am
Before working for Dinosaur Financial Group, Karandos worked for Morgan Stanley Smith Barney and UBS Financial Services. [read post]
21 May 2019, 6:38 am
He was an advisor at Morgan Stanley and predecessor at firm Smith Barney from 2006 to 2011. [read post]
9 Nov 2023, 6:29 am
(CRD# 8174) of Paramus, NJ, Morgan Stanley Smith Barney (CRD# 149777) and Citigroup Global Markets Inc. [read post]
9 Feb 2018, 12:53 pm
Thomas Francis Niles was previously registered with Merrill Lynch in New York, New York from September 1992 until November 1995, Salomon Smith Barney in New York from November 1995 until April 2000, Prudential Securities in New York from April 2000 until July 2003, Wachovia Securities in Latham, New York from July 2003 until March 2009, Morgan Stanley in Saratoga Springs, New York from March 2009 until June 2009 and Morgan Stanley in Saratoga… [read post]
17 Dec 2020, 11:35 am
A former South Florida Morgan Stanley Smith Barney broker’s decision to blow the whistle on alleged misconduct has resulted in an almost $1.8 million award from the Securities and Exchange Commission, which said the complaint helped uncover crucial evidence and claw back millions for investors.Represented by James Sallah of Sallah Astarita & Cox, LLC and Scott Silver of Silver Law Group the complaint revolved around a foreign currency trading program… [read post]
21 Mar 2017, 5:00 am
Morgan Stanley Smith Barney, LLC, cert denied March 20, 2017). [read post]
28 Nov 2007, 1:25 pm
A number of them, including Morgan Stanley and Citigroup Inc. unit Smith Barney, ratchet up demands on experienced brokers. [read post]
20 Sep 2022, 12:11 pm
Via Matt Levine, I learn of a SEC complaint against MorganStanley Smith Barney (MSSB): The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately 15 million customers. [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]
3 Jul 2012, 7:17 am
According to a report in the Courthouse News, Delsa Thomas, a financial advisor formerly with Morgan Stanley Smith Barney, allegedly recommended that investors invest in Tejas Eagle Financial, LLC while she was employed by Morgan Stanley Smith Barney. [read post]
