Search for: "MORGAN STANLEY SMITH BARNEY"
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3 Jan 2016, 4:32 am
Thereafter, from June 2009 through September 2009, Giusti was briefly associated with Morgan Stanley Smith Barney. [read post]
22 Dec 2015, 8:29 am
Morgan Stanley Smith Barney LLC et al., 3:15-cv-00074 (E.D. [read post]
18 Dec 2015, 8:36 am
Court of Appeals, where Facsina is claiming there is a crucial jurisdictional issue negating FINRA’s determination.According to the suit, it was not Morgan Stanley Smith Barney (MSSB) that owned the note, but rather its non-FINRA member subsidiary Morgan Stanley Smith Barney FA Notes Holdings. [read post]
9 Dec 2015, 5:00 am
After the Morgan Stanley takeover, his loans were moved to another part of the operation, costing him millions of dollars in revenue.I see this far too often. [read post]
19 Nov 2015, 6:34 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Travis Shannon, a former financial advisor with Morgan Stanley Smith Barney from September 2008 to July 2013, was fired by Morgan Stanley for undisclosed outside business activities. [read post]
10 Nov 2015, 2:18 pm
In the brokerage firm context, the ones that are regulated by FINRA, again, your Morgan Stanley, your Merrill Lynch, your Smith Barney, etc., in that context, there are two models. [read post]
9 Oct 2015, 8:02 am
He was also previously registered with Morgan Stanley Smith Barney, according to industry records. [read post]
29 Sep 2015, 2:17 pm
A “vast majority” of Morgan Stanley’s top producing advisors already have been under the CARE program, a company source said, noting that it was a part of the retention deals signed by Smith Barney advisors who joined the firm as part of the 2009 merger. [read post]
26 Aug 2015, 7:56 am
From April 2004, until February 2009, Peirce was registered with Morgan Stanley Smith Barney (Morgan Stanley). [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]
21 Aug 2015, 10:23 am
In Couch, plaintiff was employed as a financial adviser for Morgan Stanley Smith Barney from September 2007 until January 2013. [read post]
19 Aug 2015, 9:56 am
From June 2009, until April 2011, Kaplan was associated with Morgan Stanley Smith Barney (Morgan Stanley). [read post]
18 Aug 2015, 6:23 am
From there, Honingstock was associated with Morgan Stanley Smith Barney form June 2009, until December 2009. [read post]
9 Aug 2015, 2:56 pm
The Financial Industry Regulatory Authority (FINRA) issued a press release concerning two settlements fining Morgan Stanley Smith Barney, LLC (Morgan Stanley) $650,000 and Scottrade, Inc. $300,000 for failing to implement reasonable supervisory systems to monitor the transmittal of customer funds to third-party accounts. [read post]
19 May 2015, 7:31 am
From June 2009, through October 21, 2011, he was registered through Morgan Stanley Smith Barney LLC (Morgan Stanley). [read post]
12 May 2015, 10:02 am
On May 7, 2015, a Financial Industry Regulatory Authority (“FINRA”) arbitration panel (the “Panel”) awarded (the “Award”) $500,000 to Respondent, John Offenburger (“Offenburger”), against the Claimants Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barney FA Notes Holdings, LLC (collectively “Morgan Stanley” and/or “Claimants”),… [read post]
24 Apr 2015, 11:46 am
Parthemer was employed and licensed to recommend the purchase and sale of securities by Morgan Stanley Smith Barney LLC from June 2009 through October 2011, and from October 2011 through March 2013 with Wells Fargo Advisors, LLC. [read post]
23 Jan 2015, 6:56 am
According to Casson’s BrokerCheck records, the advisor was registered with Morgan Stanley Smith Barney from June 2010, until August 2011. [read post]
9 Oct 2014, 6:38 am
Amazon, AOL, Dropbox, Ebay, Groupon, Hulu, Instagram, Microsoft, Netflix, Paypal, Spotify, Stubhub, Ticketmaster, AT&T, Cricket, Sprint, T-Mobile, Tracfone, Verizon, American Express, Chase, Citibank, Discover, Wells Fargo, Ameriprise Financial, Charles Schwab, E Trade, Fidelity, Morgan Stanley Smith Barney, T Row Price, TD Bank, Vanguard, Comcast, Direct TV, Time Warner Cable, PNC, US bancorp. [read post]
2 Oct 2014, 6:28 am
Shannon, of Santa Barbara, California, formerly of Morgan Stanley Smith Barney. [read post]
