Search for: "Stanley R Smith"
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6 Mar 2012, 3:33 am
... [read post]
1 Nov 2014, 10:30 pm
"Both Megan Ming Francis’ CIVIL RIGHTS AND THE MAKING OF THE MODERN AMERICAN STATE and Joseph R. [read post]
14 Oct 2009, 8:08 am
To accomplish this, FINRA has expanded the program to include cases against the following 14 broker-dealers (from 11 broker-dealers): Chase Investment Services (10 cases); Oppenheimer & Co. (15 cases); Raymond James Financial Services/Raymond James & Associates (10 cases); Citigroup Global Markets (60 cases); Merrill Lynch (60 cases); Morgan Stanley Smith Barney (60 cases); UBS Financial Services (60 cases); Wells Fargo Advisors (60 cases); Ameriprise Financial Services… [read post]
17 Nov 2009, 11:26 am
"The business has "changed dramatically" from transactional to wealth management, said Charles Johnston, president of Morgan Stanley Smith Barney". [read post]
17 Apr 2012, 11:34 pm
Supreme Court declines look at Skilling case, The Wall Street Journal, April 16, 2012 Enron investors to split billions from lawsuit, CNN, September 9, 2008 More Blog Posts: Morgan Stanley to Compensate A Number of Texas Homeowners for Alleged Misconduct by Saxon Mortgage Services, Stockbroker Fraud Blog, April 12, 2012 Texas Securities Fraud: State Law Class Action in R. [read post]
30 Apr 2010, 8:19 am
Smith, Dr. [read post]
23 Aug 2012, 10:11 am
Here are some of their concerns and criticisms (with a hat tip to Yves Smith at Naked Capitalism for collecting most of these in his column and its commentary): 1. [read post]
3 Sep 2014, 7:32 am
Smith and Jacqueline M. [read post]
21 Jun 2012, 8:13 am
Brokerage firms around the country such as Wachovia Securities n/k/a Wells Fargo Securities, Morgan Stanley, UBS, Smith Barney, Merrill Lynch, Bank of America and many others were actively engaged in the selling of Fannie Mae preferred stock to their customers in secondary public offerings and in the aftermarket. [read post]
26 Oct 2009, 7:50 am
According to Registered Rep Magazine, in an effort to cut costs, some brokerage firms such as UBS and Morgan Stanley Smith Barney are restructuring their branch office organization and changing the rules about which managers must generate production. [read post]
20 Nov 2008, 5:41 pm
 Morgan Stanley has said that it's remaining competitive. [read post]
22 May 2012, 4:28 pm
In analysing the judgment it is worth noting again that Stanley Burnton LJ stated that he entirely agreed with the judgment of Elias LJ. [read post]
10 Mar 2014, 10:55 am
., Morgan Stanley Smith Barney, LLC, Chuck A. [read post]
16 Jan 2013, 9:00 pm
Filed under: Department of Justice,Enforcement Actions,FCPA,Morgan Stanley,SEC — tfoxlaw @ 1:01 am Tags: compliance programs, Department of Justice, DOJ, FCPA, Foreign Corrupt Practices Act, SEC © Thomas R. [read post]
29 Oct 2021, 8:07 am
According to his FINRA Broker report, Welsh was reportedly affiliated with the following firms during his 17-year career in the securities industry: 09/07/2012 – 07/08/2021, WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616), FAIRFIELD, NJ 06/01/2009 – 10/05/2012, MORGAN STANLEY SMITH BARNEY (CRD#:149777), FAIRFIELD, NJ 04/02/2007 – 06/01/2009, MORGAN STANLEY & CO. [read post]
16 Oct 2012, 4:05 pm
They worked together at Morgan Stanley and Old Lane Partners LP. [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]
12 Aug 2015, 9:08 am
– $100,000 Merrill Lynch, Pierce, Fenner & Smith Incorporated – $500,000 Morgan Stanley & Co. [read post]
3 Jan 2016, 4:32 am
Thereafter, from June 2009 through September 2009, Giusti was briefly associated with Morgan Stanley Smith Barney. [read post]
6 Aug 2013, 8:26 am
According to reports, Morgan Stanley Smith Barney recommended that its financial advisors pull client money out of Paulson’s Advantage and Advantage Plus funds in December 2012, likely because the firm was concerned with the level of risk to which their clients were being exposed. [read post]
