Search for: "Morgan Stanley Smith Barney, LLC"
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4 Aug 2009, 7:00 am
Firms that have not been subpoenaed, such as Charles Schwab and Morgan Stanley Smith Barney, are sounding cautionary notes, warning of the intricacies of these products, but still selling them to retail investors. [read post]
3 Aug 2009, 8:12 am
Morgan Stanley Smith Barney says its sales of leveraged and inverse ETFs is "under review. [read post]
29 Oct 2009, 3:22 pm
The fourteen participating firms with their case limits in parentheses are: Ameriprise Financial Services (18), Charles Schwab (10), Chase Investment Services (10), Citigroup Global Markets (60), Edward Jones (18), Fidelity Brokerage Services (10), LPL Financial (10), Merrill Lynch (60), Morgan Stanley Smith Barney (60), Oppenheimer (15), Raymond James (15), TD Ameritrade (10), UBS Financial Services (60), Wells Fargo Advisors (60). [read post]
14 Feb 2022, 10:37 am
According to his FINRA Broker report, Welsh was reportedly affiliated with the following firms during his 17-year career in the securities industry: 09/07/2012 – 07/08/2021, WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616), FAIRFIELD, NJ 06/01/2009 – 10/05/2012, MORGAN STANLEY SMITH BARNEY (CRD#:149777), FAIRFIELD, NJ 04/02/2007 – 06/01/2009, MORGAN… [read post]
16 Jan 2012, 4:42 pm
Jo Ann Marie Head, formerly with Morgan Stanley Smith Barney in Whittier, California, was barred from association with any FINRA member and ordered to pay restitution to a customer in the amount of $19,000, which represented a loan granted Head by a customer. [read post]
11 Sep 2012, 6:23 pm
(PDF) SEC Charges Former Sky Bell Hedge Fund Manager With Making Misrepresentations In Selling And Recommending His Hedge Funds, SEC.gov, August 27, 2012 More Blog Posts: Texas Securities Roundup: Morgan Stanley Smith Barney Sued Over Financial Adviser’s Ponzi Scam, Judge Dismisses Ex-GE Executive Whistleblower’s Lawsuit Over His Firing, & Ex-Stanford Financial Group CIO Pleads Guilty to Obstructing the SEC’s Probe, Stockbroker Fraud… [read post]
15 Nov 2021, 10:39 am
., In the Matter of Morgan Stanley Smith Barney LLC, Investment Advisers Act Rel. [read post]
15 Nov 2021, 10:39 am
., In the Matter of Morgan Stanley Smith Barney LLC, Investment Advisers Act Rel. [read post]
7 Jan 2012, 3:13 pm
The other financial firms, ranking in the order that follows, are Charles Schwab, TD Ameritrade, Etrade, Fidelity Brokerage Services, WellsTrade (Wells Fargo), Merrill Edge/Bank of America, and Morgan Stanley Smith Barney LLC. [read post]
10 Jan 2023, 7:39 am
The SEC also brought enforcement actions against JPMorgan, UBS, TradeStation Securities and Morgan Stanley Smith Barney for failing to have sufficient procedures to protect investors’ personal information, in violation of the SEC’s Identity Theft Red Flags Rule. [read post]
31 Aug 2012, 3:47 pm
Rojas, SEC.gov (PDF) SEC halts Denver Based Ponzi Scheme, SEC.gov, August 15, 2012 More Blog Posts: Institutional Investment Roundup: Madoff Ponzi Victims to Get 2nd Payout, Insurer’s MBS Lawsuit Against UBS Can Proceed, SEC Charges 2 in $10M Penny Stock Scam, & Hedge Fund Manager Found Guilty in $900K Insider Trading Scheme, Institutional Investor Securities Blog, August 29, 2012 SEC Securities Law Roundup: First Whistleblower Award Under New Program is Announced, Internet-Based… [read post]
28 Feb 2024, 6:37 pm
” These letters are called activity letters and most brokerage firms send them, including Morgan Stanley, Bank of America, Wells Fargo, Merrill Lynch, Citigroup (Smith Barney), and Ameriprise. [read post]
8 Nov 2010, 3:20 am
From the Vail Daily: [52 year old Martin Joel] Erzinger, an Arrowhead homeowner, is a director in private wealth management at Morgan Stanley Smith Barney in Denver. [read post]
10 Feb 2012, 1:25 pm
Inc. and its subsidiary Morgan Stanley Smith Barney LLC were fined $1 million by FINRA for excessive markups and markdowns in corporate and municipal bond transactions. [read post]
8 Mar 2021, 4:17 pm
ROBERT BRINCKERHOFF, individually, and MORGAN STANLEY SMITH BARNEY LLC, Appellees. 4th District.Child custody -- Modification -- Competent substantial evidence supported trial court's modification of time-sharing -- Trial court did not abuse its discretion by giving mother ultimate decision-making authority as to medical issues if parties were unable to agree where court found that parties did not communicate and that their relationship was… [read post]
9 Jun 2016, 3:28 pm
In a June 8, 2016 press release (here), the agency announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
6 Sep 2021, 5:27 am
Strasser, Esq., Administrator PendenteLite on behalf of the Estate of Ralph Sandor, DeceasedTracey Salmon-Smith, Esq.Justin M. [read post]
