Search for: "Smith Barney Inc."
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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]
12 Jun 2009, 9:43 am
The joint venture announced by Morgan Stanley in January to take 51% control of Citigroup Inc.'s Smith Barney brokerage unit was completed last week on June 1. [read post]
14 Aug 2012, 5:01 am
Smith Barney, No. 11-1270-cv, 2012 WL 1003656 (2d Cir. [read post]
15 Jun 2009, 5:25 pm
In Smith Barney, Inc. v. [read post]
14 Sep 2012, 9:39 am
Until recently, Clifford Jagodzinski worked at Morgan Stanley Smith Barney as a Complex Risk Officer. [read post]
24 Jul 2007, 4:46 pm
The Smith Barney unit of Citigroup Global Markets Inc. will pay a fine of $10 million to the NYSE, and a fine of $5 million to the State of New Jersey, related to a "separate regulatory matter arising out of the same conduct. [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]
22 Jun 2012, 1:58 pm
Both brokers were recruited a few months before Morgan Stanley merged with Citigroup Inc.'s (C) Smith Barney. [read post]
10 Aug 2011, 6:19 pm
(Smith Barney is a division of Citigroup Global Markets, Inc. and is now doing business as part of Morgan Stanley Smith Barney, LLC.) [read post]
10 Nov 2011, 12:52 pm
Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal... [read post]
10 Nov 2011, 12:52 pm
Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal... [read post]
16 Jun 2012, 9:28 pm
The Ex-Morgan Stanley Smith Barney broker (and before that he worked for predecessor company Citigroup Global Markets Inc. [read post]
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]
19 Jul 2009, 8:17 am
Smith Barney won. [read post]
8 Apr 2008, 12:30 pm
In 1989, Smith Barney Inc. instituted the plan because of high stockbroker turnover. [read post]
29 Mar 2021, 2:02 pm
(CRD#:8174), both of San Francisco, and Smith Barney Shearson Inc. [read post]
1 Feb 2021, 2:02 pm
(CRD#:8174), both of San Francisco, and Smith Barney Shearson Inc. [read post]
10 Aug 2018, 11:07 am
(CRD #7556) of Boston, MA, Smith Barney Inc. [read post]
21 Jun 2018, 11:35 am
His previous employers include: LPL Financial LLC (CRD #6413) Smith Barney Inc. [read post]
