Search for: "Morgan Stanley Smith Barney, LLC" Results 1 - 20 of 102
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6 Jul 2017, 6:27 am by Silver Law Group
Ritz and respondents Morgan Stanley Smith Barney LLC (#CRD 149777) and Charles Alan Correal (CRD# 1366202). [read post]
6 Jul 2017, 6:27 am by Silver Law Group
Ritz and respondents Morgan Stanley Smith Barney LLC (#CRD 149777) and Charles Alan Correal (CRD# 1366202). [read post]
10 Nov 2011, 12:52 pm by Securites Lawprof
Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal... [read post]
10 Nov 2011, 12:52 pm by Securites Lawprof
Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal... [read post]
12 May 2015, 10:02 am by Lax & Neville LLP
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… [read post]
12 May 2020, 5:56 am by Astarita
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC (MSSB) has agreed to settle charges that it provided misleading information to clients in its retail wrap fee programs regarding trade execution services and…Read the Full Press ReleaseHave a securities law question? [read post]
8 Mar 2016, 1:08 pm by Lax & Neville LLP
On February 22, 2016, a Financial Industry Regulatory Authority (“FINRA”) panel (the “Panel”) rendered an award (the “Award”) dismissing Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barney FA Notes Holding, LLC’s (collectively “Morgan Stanley”) promissory note claim against one of its registered representatives, Brandon Neal… [read post]
20 Jun 2014, 7:58 am by ekrause
Pitkin, Banking Commissioner, announced today that a $5 million settlement with Morgan Stanley Smith Barney LLC (MSSB) to resolve allegations the company failed to adhere to certain requirements relating to its supervisory responsibilities as a Connecticut registered Broker-Dealer. [read post]
31 Jan 2013, 4:26 am
 In the Matter of the FINRA Arbitration Between Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barne... [read post]
4 Dec 2017, 4:03 pm by Michael J. Giarrusso
On September 25, 2017, the Financial Industry Regulatory Authority (“FINRA”) issued a fine of $3.25 million against Morgan Stanley Smith Barney LLC (“Morgan Stanley”) in connection with the brokerage firm’s alleged failure to supervise its brokers’ short-term trades of unit investment trusts. [read post]
18 Sep 2009, 7:27 am
Speaking at the Barclays Capital Global Financial Services Conference on Sept. 15, Citigroup CEO Vikram Pandit for the first time announced publicly that he anticipates the bank to divest its entire 49% stake in Morgan Stanley Smith Barney LLC. [read post]
14 Nov 2011, 8:32 am by Harrison
Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal bond transactions, and related supervision violations.” [read post]
16 Oct 2012, 1:59 pm
Morgan Stanley Smith Barney LLC and Brian Wilder (FINRA Arbitration No. 11-03937), a FINRA arbitration panel found against respondents and annexed a 25 page Arbitrators' Report to the Award which excoriated respondents for misappropriation of trade secrets (Fidelity's customer list) among other violations. [read post]
23 Aug 2019, 2:07 am
Then Morgan Stanley snatched victory from the jaws of defeat.Case In PointFormer Morgan Stanley Smith Barney, LLC employee Rajesh Gupta filed a Complaint in the United States District Court for the Northern District of Illinois ("NDIL") alleging t... [read post]
27 Apr 2018, 1:54 pm by Silver Law Group
Dixon was discharged by his employer, Morgan Stanley Smith Barney, LLC (CRD#149777) of Houston, TX. [read post]
20 Sep 2016, 11:50 am
The SEC announced in a press release dated June 8, 2016 that Morgan Stanley Smith Barney, LLC has agreed to pay a $1 million penalty to settle charges relating to alleged failures to protect confidential customer information. [read post]
16 Jun 2014, 7:09 am by Daniel Gwertzman
Morgan Stanley Smith Barney actually adopted a policy related to the solicitation of IPO’s. [read post]
2 Jul 2018, 7:22 am
Morgan Stanley Smith Barney LLC, Defendant/Appellee (Opinion, July 2, 2018)http://www.brokeandbroker.com/PDF/Ploetz8Cir.pdfPloetz filed a FINRA Arbitration claim against Morgan Stanley Smith Barney LLC, alleging that Morgan Stanley had transferred funds from the account without authorization. [read post]
4 Oct 2016, 7:19 am by John Jascob
The Division seeks to permanently bar Morgan Stanley from engaging in these banking and securities cross-selling practices, to censure the firm and impose an administrative fine, and to obtain equitable relief for the firm’s clients (In the Matter of Morgan Stanley Smith Barney LLC, October 3, 2016).According to the complaint, Morgan Stanley created the sales contest to persuade its retail wealth management… [read post]