Search for: "Morgan Smith"
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4 Oct 2016, 7:19 am
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 clients to take out securities-based loans via… [read post]
17 Mar 2010, 11:45 am
Morgan L. [read post]
4 Dec 2017, 4:03 pm
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]
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]
19 Jan 2007, 3:00 pm
December 15, 2006).On December 15, 2006, Judge Smith writing for a three judge panel of the Third Circuit handed down another precedential opinion in Morgan v. [read post]
31 Oct 2018, 1:54 pm
Several days before news of Buck’s bar, FINRA announced that it had barred former Morgan Stanley broker Kevin Smith. [read post]
22 Sep 2019, 11:54 am
Smith, Morgan Stanley in Minneapolis, MN Are you concerned about investments with Kevin P. [read post]
4 Dec 2006, 12:59 pm
When DealBook last wrote about Sony Pictures’ “Pursue It” contest, four semifinalists were vying for a summer internship at Morgan Stanley. [read post]
20 Feb 2009, 5:57 pm
Morgan Stanley wants to make sure it keeps the best-performing brokers after it forms a joint-venture brokerage firm with Citigroup's Smith Barney unit, so it plans to pay them a total of $2 billion to $3 billion to encourage them to stay with firm for up to nine years. [read post]
11 Nov 2011, 10:03 am
As indicated by the AWC, Morgan Stanley Smith Barney LLC will revise its written supervisory procedures pertaining to the review of markups and markdowns in fixed-income transactions with its customers. [read post]
12 Jan 2021, 12:39 pm
Specifically, the FINRA AWC stated that Morgan Stanley’s supervisory system was not reasonably designed to supervise 529 share-class recommendations executed 1) in certain legacy Smith Barney accounts or 2) through transactions made directly with plans. [read post]
24 May 2019, 9:20 am
If you were in Morgan Stanley’s advisory program and purchased such risky investments as junk bonds, options, or ETFs, please reach out to the securities attorneys at Shepherd, Smith, Edwards & Kantas. [read post]
8 May 2019, 1:08 pm
The lawyer handed his portfolio over to Morgan Stanley broker, Michael Lee Canney, in 2007. [read post]
22 Jun 2012, 1:58 pm
They both still work for Morgan Stanley Smith Barney. [read post]
1 Nov 2017, 11:28 am
(a/k/a Smith Barney) was one of the founding members of the Protocol in 2004. [read post]
8 Jan 2013, 8:02 am
In 2011, Claimant Gregory Carl Torretta (“Torretta”) filed a claim with FINRA against Respondent Morgan Stanley Smith Barney (“Morgan Stanley”) for violations of FINRA rules, breach of employment contract, and wrongful termination. [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]
28 Jan 2020, 7:21 am
Before joining Morgan Stanley, he worked for Wells Fargo Advisors (CRD#: 19616), Prudential Securities Incorporated (CRD#: 7471), Salomon Smith Barney (CRD#: 7059), Lehman Brothers (CRD#: 7506), E.F. [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]
22 Jul 2021, 3:00 am
Our broker negligence attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) are looking into customer claims of investment losses they experienced while working with Francisco Valenzuela or any other Morgan Stanley registered representative. [read post]
