Search for: "Morgan Stanley Smith Barney, LLC"
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19 Apr 2019, 5:39 am
According to FINRA Disciplinary actions for March 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrera, Cynthia Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Beyn, Edward Rothchild Lieberman LLC Craig Scott Capital Blanchard, Keith… [read post]
1 May 2014, 6:40 am
As such, Respondent is liable for and shall pay to Claimant the amount of $237,326.00 minus $40,000.00 awarded to Respondent, for a net amount due to Claimant of $197,326.00. 11-03662 Morgan Stanley Smith Barney LLC; Morgan Stanley Smith Barney FA Notes Holdings LLC, Morgan Stanley & Co., LLC John Darold Simmons Respondent to pay $546,336.00 in compensatory damages, which… [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]
7 Dec 2010, 2:24 am
This is when the lexical elements “eliminate the possibility of confusion,” Morgan Stanley and Morgan Stanley Smith Barney Holdings LLC v. [read post]
22 Dec 2015, 8:29 am
Morgan Stanley Smith Barney LLC et al., 3:15-cv-00074 (E.D. [read post]
3 Jul 2009, 11:11 am
" Many anticipate that additional Smith Barney brokers will leave as the dust starts settling from the Morgan Stanley/Smith Barney joint venture. [read post]
28 Dec 2020, 1:55 pm
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Frisco, TX, Morgan Stanley Smith Barney (CRD#:149777) and Morgan Stanley & Co. [read post]
3 Jul 2012, 4:29 pm
In Dallas County Court, 11 investors are suing Morgan Stanley Smith Barney and its financial adviser Delsa Thomas for bilking them in an alleged Texas Ponzi scam. [read post]
5 Nov 2013, 6:03 am
From January 2003 through the end of 2012, Morgan Stanley enticed over 30,000 customers to invest $797 million collectively into a managed-futures fund called Morgan Stanley Smith Barney Spectrum Technical L.P. [read post]
23 Feb 2012, 7:26 am
According to various reports, a broker formally affiliated with Morgan Stanley Smith Barney, LLC, Berthel Fisher & Co., and LPL Financial was recently arrested in Oregon for allegedly stealing $584,000 from three investors. [read post]
14 Aug 2018, 12:26 pm
Morgan Stanley Smith Barney LLC, John Joseph Biondo, Jr., and William Michael Peragine, III, Respondents (FINRA Arbitration 15-03434, August 10, 2018) http://www.finra.org/sites/default/files/aao_documents/15-03434.pdf In response to ... [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]
2 Dec 2009, 7:49 am
In the case of the Morgan Stanley Smith Barney offer, the article said, reps need to increase assets and production by 50% over the first five years, with specific growth targets set for each year. [read post]
10 Aug 2011, 6:19 pm
(Smith Barney is a division of Citigroup Global Markets, Inc. and is now doing business as part of Morgan Stanley Smith Barney, LLC.) [read post]
15 May 2016, 3:04 pm
Morgan Stanley Smith Barney LLC. [read post]
3 Jul 2012, 7:17 am
According to a report in the Courthouse News, Delsa Thomas, a financial advisor formerly with Morgan Stanley Smith Barney, allegedly recommended that investors invest in Tejas Eagle Financial, LLC while she was employed by Morgan Stanley Smith Barney. [read post]
3 Jul 2012, 7:17 am
According to a report in the Courthouse News, Delsa Thomas, a financial advisor formerly with Morgan Stanley Smith Barney, allegedly recommended that investors invest in Tejas Eagle Financial, LLC while she was employed by Morgan Stanley Smith Barney. [read post]
7 Mar 2022, 7:24 am
His previous employer employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Miamisburg, OH, Morgan Stanley Smith Barney (CRD#:149777) and Citigroup Global Markets Inc. [read post]
30 Jun 2016, 9:29 am
The Securities and Exchange Commission’s (“SEC”) recent $1 million settlement with Morgan Stanley Smith Barney LLC (“MSSB”) marked a turning point in the agency’s focus on cybersecurity issues, an area that the agency has proclaimed a top enforcement priority in recent years. [read post]
17 Dec 2020, 11:35 am
A former South Florida Morgan Stanley Smith Barney broker’s decision to blow the whistle on alleged misconduct has resulted in an almost $1.8 million award from the Securities and Exchange Commission, which said the complaint helped uncover crucial evidence and claw back millions for investors.Represented by James Sallah of Sallah Astarita & Cox, LLC and Scott Silver of Silver Law Group the complaint revolved around a foreign currency trading… [read post]
