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19 Dec 2018, 12:05 pm
It's a demand by public customers for $7.8 million in damages from Morgan Stanley Smith Barney and Wells Fargo Advisors. [read post]
10 Apr 2023, 4:02 am
Morgan Stanley Smith Barney, LLC... [read post]
26 Sep 2022, 8:00 am
On September 20, 2022, the SEC fined financial services giant Morgan Stanley Smith Barney (“MSSB”) $35 million for failing to adequately protect its customer’s records and personal identifying information (“PII”). [1] The fine was entered via a settlement between the SEC and MSSB, through which MSSB has agreed to pay a civil penalty for the SEC’s charges without admitting to nor denying the violations. [2] MSSB is a subsidiary of Morgan… [read post]
26 Oct 2011, 11:44 pm
Shepherd Smith Edwards and Kantas founder and securities fraud attorney William Shepherd said, “Our law firm has been successful in maintaining similar cases in arbitration or state courts. [read post]
21 Aug 2017, 5:00 am
File no. 3-17808 (Jan. 24, 2017), and In the Matter of Morgan Stanley Smith Barney LLC, SEC, Admin. [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 in a manner that… [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]
9 Jan 2012, 7:41 pm
Eric Grossman, who joined from Davis Polk in 2006, was General Counsel of the Americas, Global Head of Litigation and General Counsel of Morgan Stanley Smith Barney. [read post]
13 Jun 2023, 3:34 am
There is a reason Smith would love to see an August trial. [read post]
3 Sep 2020, 8:21 am
Cindy Fuzie Morgan Stanley MML Investors Services, LLC Michael Garris Wells Fargo Clearing Services, LLC Morgan Stanley Smith Barney Rajesh Gupta Morgan Stanley Smith Barney JP Morgan Securities LLC James McEnerney, Jr. [read post]
30 Sep 2019, 5:42 am
In May 2019 Moy’s former employer Morgan Stanley Smith Barney, LLC (Morgan Stanley) discharged Moy alleging that he submitted inaccurate information for business expenses, his submission of inaccurate and incomplete information about outside restaurant-related business activities, and his use of firm resources for those outside activities. [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 transaction, otherwise… [read post]
17 Nov 2011, 5:26 pm
SEC Charges Morgan Stanley Investment Management for Improper Fee Arrangement, SEC, November 16, 2011 SEC charges Morgan Stanley Investment Management with violations, Miami Herald, November 16, 2011 More Blog Posts: Retirement Fund’s CDO Lawsuit Against Morgan Stanley is Dismissed by District Court, Institutional Investor Securities Fraud, October 27, 2011 Morgan Stanley Faces $1M FINRA Fine for Excessive Markups and Markdowns on Corporate and Municipal… [read post]
22 Apr 2018, 4:34 am
In the Matter of the Arbitration Between Morgan Stanley Smith Barney, LLC. [read post]
19 Dec 2018, 12:03 pm
In the Matter of Morgan Stanley Smith Barney LLC, Respondent (AWC 2014040051801, December 26, 2018). [read post]
8 Jun 2010, 12:00 pm
From 1893 on, the Stanley Cup has been held every year except 1919 and 2005. [read post]
16 Nov 2010, 3:16 am
Rodney Gray and Morgan Stanley Smith Barney, LLC and is currently pending in the U. [read post]
13 Feb 2009, 4:13 am
Before the ink on is even dry on the deal to create the joint venture between Morgan Stanley and Citigroup's Smith Barney, some of the two brokerages' top performers are already heading for the exits, The New York Post reported. [read post]
20 Jul 2007, 7:57 am
Morgan Stanley, Lehman Brothers and Smith Barney recently forbade employees from entertaining clients at the Hawaiian Tropic Zone, a Times Square restaurant where the waitresses wear bikinis. [read post]
