Search for: "Morgan Stanley Smith Barney, LLC" Results 81 - 100 of 157
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15 Feb 2010, 9:29 am by Page Perry LLC
Charles Schwab Corp. added a record number of independent investment advisors in 2009 as thousands of brokers left Wall Street firms, like Bank of America, Merrill Lynch, and Morgan Stanley Smith Barney, to launch their own investment advisory firms. [read post]
9 Nov 2023, 6:29 am by Silver Law Group
(CRD# 8174) of Paramus, NJ, Morgan Stanley Smith Barney (CRD# 149777) and Citigroup Global Markets Inc. [read post]
8 Mar 2021, 7:24 am by Silver Law Group
Before working for Dinosaur Financial Group, Karandos worked for Morgan Stanley Smith Barney and UBS Financial Services. [read post]
4 Aug 2023, 7:34 am by Silver Law Group
According to FINRA Disciplinary actions for July 2023, 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   Michael Borning   Pruco Securities, LLC   Wells Fargo Clearing Services, LLC   Conway Donaldson   Morgan Stanley Smith Barney   Merrill Lynch, Pierce, Fenner & Smith… [read post]
20 Sep 2022, 12:11 pm by Steve Bainbridge
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]
6 Sep 2016, 7:23 am by D. Daxton White
Parthemer was registered with Wells Fargo Advisors in Fort Lauderdale, FL from10/2011 – 05/2015 and was registered with Morgan Stanley Smith Barney in Fort Lauderdale, FL from 06/2009 – 11/2011. [read post]
24 Jan 2022, 1:43 pm by Silver Law Group
  Jared Poe   Morgan Stanley Smith Barney   Morgan Stanley & Co Incorporated   Yousuf Salijooki   Wordon Capital Management LLC   Salomon Whitney Financial   Dudley Stephens   Coastal Equities, Inc. [read post]
16 Oct 2013, 11:45 am by D. Daxton White
  The investigation also includes investments in the Managed futures Premier BHM Fund, Morgan Stanley Smith Barney Spectrum Strategic Fund, grant Park Futurs Fund LP, Systematic Momentum Futures Access,  RJO Global Trust and Altegris Winton Futures Fund. [read post]
6 Aug 2009, 1:43 pm
Fidelity Investment has joined Charles Schwab and Morgan Stanley Smith Barney in warning customers about the complexity and risks of Leveraged Exchange Traded Funds (ETFs), reported Daisy Maxey in her article, "Fidelity the Latest to Caution on ETFs," published in the August 4 Wall Street Journal. [read post]
22 Dec 2010, 3:30 am
Inc., Morgan Stanley DW, Inc. and Morgan Stanley Smith Barney LLC-- failed to pay their broker assistants overtime wages, compensation for missed meal and rest breaks, and failed to furnish itemized wage statements accurately reflecting the hours worked as required under the California labor law. [read post]
29 Oct 2013, 3:46 am by Andrew Trask
Morgan Stanley Smith Barney, LLC, No.12-CV-298-JED-FHM, 2013 U.S. [read post]
20 May 2020, 1:57 pm by Silver Law Group
  Stifel, Nicolus & Company, Inc   Sterne, Agee & Leach, Inc   Kievman, Cary   Ameriprise Financial Services, Inc   Morgan Stanley Smith Barney   Krupnick, Jeffrey   Ameriprise Financial Services, Inc   JHS Capital Advisors, LLC   Lake, Jonathan   Wells Fargo Clearing Services, LLC   Morgan Stanley   McCutchen, Jerry Sr. [read post]
1 Apr 2014, 5:42 am by Adam Weinstein
  Thereafter, from September 2010 until May 2011, Mallett was associated with Morgan Stanley Smith Barney (Morgan Stanley). [read post]
29 Jun 2016, 2:02 pm by Malecki Law Team
Gioffre was employed by Morgan Stanley Smith Barney from June 2009 to June 2014 and was discharged from this firm amid allegations of “fee reversals in [his] personal Morgan Stanley account, continuing to maintain a pre-existing outside investment that never received written approval from the firm, and fund transfers between [his] personal Morgan Stanley account and the accounts of family members. [read post]
18 May 2023, 11:11 am by Staff Attorney
  According to records kept by The Financial Industry Regulatory Authority (FINRA), Hershberg was employed by Morgan Stanley Smith Barney, LLC (Morgan Stanley) at the time of the activity. [read post]
15 Dec 2017, 3:00 am by Biglaw Investor
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]
22 Feb 2021, 8:38 am by Joelle Hinds, CFP®, CDFA®
Morgan Stanley Smith Barney LLC does not accept appointments, nor will it act as a trustee, but it will provide access to trust services through an appropriate third-party corporate trustee. [read post]
21 May 2020, 7:05 am by Silver Law Group
According to FINRA Disciplinary actions for February 2020, 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   Cline, Kevin   Source Capital Group, Inc   Ridgemont Securities, Inc   Delaney, Maxwell   Brill Securities, Inc   National Securities Corporation   Henrich, Todd   National Securities Corp   Obsidian Financial Group  … [read post]
1 Oct 2022, 8:14 am by Staff Attorney
  According to records kept by The Financial Industry Regulatory Authority (FINRA), Good was employed by Morgan Stanley Smith Barney, LLC (Morgan Stanley) at the time of the activity. [read post]