Search for: "Morgan Stanley Smith Barney, LLC"
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12 Apr 2019, 8:25 am
Insurance Agency Peter Gomez NYLife Securities LLC New York Life Insurance Co Harris, Dionna Vanguard Marketing Corporation Henry, Omar Cetera Advisors LLC JP Morgan Securities LLC King, Erin Wells Fargo Clearing Services, LLC Wells Fargo Bank Lin, Linda Lossing, Christopher LPL Financial LLC Edward Jones McNeill, Randolph … [read post]
10 Jan 2019, 8:47 am
Now, a FINRA arbitration panel is ordering Morgan Stanley Smith Barney LLC to pay retired NFL player Asante Samuel and Mega Millions lottery winner James Grove $879K and $3.3M, respectively, in separate claims but once again involving Parthemer. [read post]
3 Jan 2019, 5:57 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC Conklin, Jeffrey The Huntington Investment Company … [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]
12 Sep 2018, 10:06 am
From June 2009 to March 2010, Musso was registered with Morgan Stanley Smith Barney. [read post]
28 Aug 2018, 2:42 pm
Morgan Stanley Smith Barney LLC, et al. [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]
23 Jul 2018, 11:09 am
., Wells Fargo Advisors, LLC, Morgan Keegan & Company, Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. [read post]
23 Jul 2018, 11:09 am
., Wells Fargo Advisors, LLC, Morgan Keegan & Company, Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. [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]
27 Apr 2018, 1:54 pm
Dixon was discharged by his employer, Morgan Stanley Smith Barney, LLC (CRD#149777) of Houston, TX. [read post]
22 Apr 2018, 4:34 am
In the Matter of the Arbitration Between Morgan Stanley Smith Barney, LLC. [read post]
15 Dec 2017, 3:00 am
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. [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]
13 Nov 2017, 1:14 pm
Are you concerned about your investment losses with Morgan Stanley Smith Barney LLC? [read post]
15 Sep 2017, 11:51 am
Morgan Stanley Smith Barney LLC, which resulted in $13 million in monetary relief for alleged overcharges to clients of more than $16 million and alleged violations of the custody rule and compliance rule. [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]
21 Mar 2017, 5:00 am
Morgan Stanley Smith Barney, LLC, cert denied March 20, 2017). [read post]
22 Feb 2017, 6:13 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing in order to settle charges by the SEC.According to the complaint, the SEC alleged that Morgan Stanley did not adequately implement its policies and procedures and did not ensure that its clients understood the risks related to single-inverse ETF investments that the firm recommended to advisory clients. [read post]
7 Oct 2016, 12:49 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The state of Massachusetts has charged Morgan Stanley Smith Barney for conducting a sales contest among its financial advisers to encourage clients to borrow money against their brokerage accounts. [read post]
