Search for: "Smith Barney"
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21 Apr 2009, 1:13 am
Smith Barney is not just giving away that 240%.Smith Barney Losing Advisors, Client Assets. [read post]
15 Aug 2008, 2:18 am
The San Francisco chronicle reports that the District Court for the Northern District of California approved a settlement agreement today between Smith Barney, and a class of more than 2400 current and former female brokers. [read post]
28 May 2020, 12:00 am
Morgan Stanley Smith Barney Agrees to $5,000,000 Settlement Fund to Benefit Harmed Investors In a release dated May 12, 2020, the Securities Exchange Commission announced that Morgan Stanley Smith Barney agreed to settle charges that it provided misleading information to clients in its Retail Wrap Fee Programs regarding trade execution services and transaction costs. [read post]
9 Jan 2009, 2:21 pm
From Eric Dash and Louise Story, colleagues of DealBook Citigroup is in talks to sell an interest in its Smith Barney brokerage and asset management unit to Morgan Stanley, according to two people with knowledge of the discussions. [read post]
16 Aug 2012, 5:40 am
A trader at Morgan Stanley Smith Barney blew past his $116 million trading limit to amass a $1.3 billion bet in 2009, Financial Industry Regulatory Authority records show, according to Bloomberg News. [read post]
11 Sep 2012, 6:48 am
Morgan Stanley and Citigroup agreed on Tuesday to value their brokerage joint venture, Morgan Stanley Smith Barney, at $13.5 billion, allowing Morgan Stanley to buy full control of the business at a favorable valuation. [read post]
12 Jun 2012, 2:47 pm
It was perhaps inevitable, but worth noting all the same: Once Morgan Stanley completes its acquisition of Smith Barney, it will consign the venerable name to the financial industry's ash heap. [read post]
16 Sep 2009, 12:22 pm
The Street is reporting that Citi CEO Vikram Pandit said the company will eventually sell its remaining stake in the Smith Barney joint venture entered into this summer with Morgan Stanley. [read post]
10 Mar 2009, 9:34 am
Smith Barney bleeds as it prepares for merger with Morgan Stanley according to InvestmentNews magazine. [read post]
15 May 2018, 1:00 pm
Peterson was previously employed at Morgan Stanley Smith Barney from 2011 to 2017 and St. [read post]
14 Mar 2011, 3:34 pm
Recruiters believe that there will be more departures of Morgan Stanley advisers in 2011, particularly among those advisers who came on board from the Smith Barney acquisition. [read post]
15 Sep 2011, 12:10 pm
Morgan Stanley Smith Barney, or more accurately, its predecessor Morgan Stanley andamp; Co., the Morgan Stanley part of the June 2009 joint venture with Morgan Stanley andamp; Co. and the Smith Barney division of Citigroup Global Markets, Inc., is no stranger to e-mail problems. [read post]
26 Jun 2008, 7:44 am
NJ Court Upholds Contraversial Deferred Stock ProgramSmith Barney Brokers We Like [read post]
1 Nov 2010, 8:00 am
When it comes to financial adviser satisfaction, Morgan Stanley Smith Barney rates at the very bottom of six national broker/dealers, according to a J.D. [read post]
18 Sep 2009, 7:27 am
Speaking at the Barclays Capital Global Financial Services Conference on Sept. 15, Citigroup CEO Vikram Pandit for the first time announced publicly that he anticipates the bank to divest its entire 49% stake in Morgan Stanley Smith Barney LLC. [read post]
13 Nov 2017, 1:14 pm
Are you concerned about your investment losses with Morgan Stanley Smith Barney LLC? [read post]
14 May 2018, 1:49 pm
Polese was previously employed at Morgan Stanley Smith Barney from 2010 to 2017. [read post]
1 Jun 2009, 7:49 am
The joint venture between Morgan Stanley and Smith Barney closed today, creating a massive brokerage firm with over 18,000 financial advisors and 1,000 branch offices.According to press reports, the joint venture will handle each firm's retail operations, which each firm's institutional business will remain separate, although institutional will execute is orders through the joint venture.What remains to be seen is the effect of the joint venture, if any, on existing… [read post]
20 Sep 2022, 4:05 am
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…Read the Full Press ReleaseHave a securities law question? [read post]
28 May 2020, 5:00 pm
In a release dated May 12, 2020, the Securities Exchange Commission announced that Morgan Stanley Smith Barney agreed to settle charges that it provided misleading information to clients in its Retail Wrap Fee Programs regarding trade execution services and transaction costs. [read post]
