Search for: "Matter of Smith v Barney"
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17 Dec 2006, 3:57 pm
Salomon Smith Barney, Inc. (2006), two California employees of WorldCom filed a class action lawsuit against the brokerage firm Salomon Smith Barney ("SSB") whose Atlanta, Georgia, office handled financial matters for WorldCom employees. [read post]
1 Mar 2010, 5:52 am
Smith Barney Fund Management LLC, No. 07-5125-cv, 2010 WL 520896 (2d Cir. [read post]
16 Dec 2020, 10:29 am
Morgan Stanley Smith Barney LLC established the law of the circuit on a nifty issue of subject matter jurisdiction in the context of arbitration. [read post]
10 Apr 2023, 4:02 am
Morgan Stanley Smith Barney, LLC... [read post]
22 Apr 2018, 4:34 am
In the Matter of the Arbitration Between Morgan Stanley Smith Barney, LLC. [read post]
4 Apr 2013, 6:24 am
Morgan Stanley Smith Barney, LLC, Case No. [read post]
22 Aug 2012, 1:09 am
See In re Smith Barney Transfer Agent Litig., No. 05 Civ. 7583 (WHP) (decision available here). [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]
4 Oct 2007, 1:37 am
[www.nylj.com]
Matter of Thompson, appellant v. [read post]
7 Jun 2007, 10:25 pm
The rights asserted by Smith Barney in this case are based simply on an interpretation of the contract to arbitrate, as opposed to the actual merits of the underlying substantive claims. [read post]
1 May 2007, 11:32 pm
The rights asserted by Smith Barney in this case are based simply on an interpretation of the contract to arbitrate, as opposed to the actual merits of the underlying substantive claims. [read post]
16 Jun 2016, 2:48 pm
BACKGROUND Last week the SEC issued a settled administrative order finding that Morgan Stanley Smith Barney (now rebranded as Morgan Stanley Wealth Management) failed to adopt written policies and procedures reasonably designed to protect customer data. [read post]
29 Mar 2007, 5:51 am
Relying on Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
4 Sep 2009, 2:04 pm
(NFP).She has also held positions with Salomon Smith Barney and CIBC World Markets(formerly Oppenheimer & Co., Inc.). [read post]
29 Nov 2017, 4:14 am
” “Contrary to the District Court’s determination dismissing so much of the counterclaim as was based upon plaintiff’s failure to retain an appraiser, promptly restrain the Citibank/Smith Barney account, and annex his invoices to the counsel fee application, we find that plaintiff failed to establish his prima facie entitlement to judgment as a matter of law, as his submissions in support of his motion with respect to these three alleged instances… [read post]
28 Aug 2018, 2:42 pm
Morgan Stanley Smith Barney LLC, et al. [read post]
25 Apr 2010, 3:54 pm
Smith Barney, Inc., 107 Wash.App. 885, 895, 28 P.3d 823 (2001). [read post]
17 Apr 2011, 10:59 am
Salomon Smith Barney, Inc., 342 N.J. [read post]
26 Aug 2012, 8:13 am
United Statesv v. [read post]
15 May 2007, 6:12 am
Bellikoff v. [read post]
