Search for: "Salomon Smith Barney Inc.)"
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15 May 2011, 8:48 am
Elias, former registered representatives of Salomon Smith Barney, Inc., and sustained the censures NYSE imposed against Spartis and Elias for misleading marketing materials sent to employees... [read post]
17 Dec 2006, 3:57 pm
Salomon Smith Barney, Inc. (2006), two California employees of WorldCom filed a class action lawsuit against the brokerage firm Salomon Smith Barney ("SSB") whose Atlanta, Georgia, office handled financial matters for WorldCom employees. [read post]
30 Sep 2008, 9:41 pm
The class of Metromedia Fiber Network stock buyers complained that Salomon Smith Barney stock analyst Jack Grubman wrote misleading research reports about the company in hopes of getting its business for his Citigroup overlords. [read post]
31 Jan 2017, 12:06 pm
.; RBC Capital Markets Corporation; Salomon Smith Barney Inc.; Lehman Brothers Corp.; Merrill Lynch, Pierce, Fenner & Smith Inc., Sussex Securities Incorporated; Lehman Brothers Incorporated. [read post]
12 Sep 2012, 7:19 am
Nathan, Charles Nathan, Chuck Nathan, Cleary Gottlieb, Cleary Gottlieb Steen & Hamilton, Edward Labaton, Fried Frank, Fried Frank Harris Shriver & Jacobson, Labaton Sucharow, Lateral Moves, Laterals, Latham, Latham & Watkins, M&A, Media and Journalism, mergers, Mergers and Acquisitions, Musical Chairs, Partner Issues, Public Relations, RLM Finsbury, Salomon Brothers, Smith Barney Inc., Stephen Labaton, Wall Street [read post]
5 Dec 2007, 7:24 am
Salomon Smith Barney, Inc., 416 F.3d 940, 951 (9th Cir.2005). [read post]
9 Feb 2010, 10:53 am
., a case brought by a group of former WorldCom, Inc. shareholders against Salomon Smith Barney & Co (Citigroup Global Markets, Inc.) and its financial analyst Jack Grubman. [read post]
12 Jun 2012, 5:36 am
Salomon Smith Barney (Salomon) provided broker-dealer services to the APT Plan, executing nondiscretionary equity trades at the direction of APT’s fiduciaries. [read post]
21 Feb 2018, 6:40 am
According to his online, public FINRA BrokerCheck report, Parker was previously registered with Dean Witter Reynolds, Thomson McKinnon Securities, Prudential Securities, Painewebber Inc., Salomon Smith Barney, Merrill Lynch and Wells Fargo in Santa Fe, Mexico from September 2008 until December 2017. [read post]
16 Jun 2020, 7:14 am
Matthew Francis Morgan Stanley Smith Barney Morgan Stanley & Co Incorporated James Heafner Retirement Wealth Advisors, Inc. [read post]
21 May 2008, 10:26 am
On December 21, 1994, while employed as a securities salesperson for Salomon Smith Barney (Smith Barney), a subsidiary of Citigroup, Inc., David B. [read post]
7 May 2012, 12:09 pm
Salomon Smith Barney, Inc., 39 Ca. 4th 95 (2006), and several other district court decisions, but it is at odds with some other decisions that found the Wiretap Act preempted state law. [read post]
16 Apr 2010, 5:00 am
Analyst Jack Grubman (“Grubman”) of Salomon Smith Barney (“Salomon”) allegedly touted the private companies’ expected earnings prior to their respective initial public offerings (“IPOs”). [read post]
26 Nov 2019, 7:33 am
According to FINRA Disciplinary actions for November 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 Ainsworth, Richard Southwest Securities, Inc Morgan Stanley Smith Barney Campbell, Charles A.G. [read post]
24 Jun 2011, 12:50 am
Salomon Smith Barney, Inc., 530 U.S. 238 (2000), in support of this proposition. [read post]
1 May 2018, 10:57 am
In three different customer disputes from 2002, the Claimants all alleged that Aibel misrepresented a corporate bond to Claimants; each claim occurred while Aibel was employed by Salomon Smith Barney, Inc. [read post]
17 Apr 2011, 10:59 am
Salomon Smith Barney, Inc., 342 N.J. [read post]
31 Mar 2010, 9:37 am
The banks named as co-conspirators include JP Morgan Chase & Co, UBS AG, Lehman Brothers Holdings Inc., Bear Stearns Cos., Bank of America Corp, Societe General, Wachovia Corp (bought by Wells Fargo), former Citigroup Inc. unit Salomon Smith Barney, and two General Electric financial businesses. [read post]
27 Nov 2018, 10:11 am
William Dumchus has also worked at the following firms: • Wells Fargo, NJ, Westfield, NJ — February 3, 2006 through April 17, 2014 • UBS Financial Services, Inc., Weehawken, NJ — December 1, 2000 through February 23, 2006 • Salomon Smith Barney, Inc., New York, NY — July 31, 1993 through December 11, 2000 • Lehman Brothers Inc., New York, NY — April 27, 1984 through July 31, 1993 • … [read post]
3 Oct 2011, 12:30 pm
His employer at the time was Salomon Smith Barney. [read post]
