Search for: "Stanley R Smith"
Results 1 - 20
of 300
Sorted by Relevance
|
Sort by Date
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]
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]
13 Nov 2017, 1:14 pm
Are you concerned about your investment losses with Morgan Stanley Smith Barney LLC? [read post]
12 May 2020, 5:56 am
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC (MSSB) has agreed to settle charges that it provided misleading information to clients in its retail wrap fee programs regarding trade execution services and…Read the Full Press ReleaseHave a securities law question? [read post]
11 Sep 2013, 10:51 am
Morgan Stanley, which is set to receive another $57 billion of deposits from Citigroup Inc. as part of its Smith Barney purchase, plans to accelerate lending to put those funds to use. [read post]
23 Oct 2009, 7:30 am
Morgan Stanley Smith Barney announced the integration of Smith Barney's Citi Family Office into its own ultra-high-net-worth division, which will now be called Morgan Stanley Private Wealth Management. [read post]
12 May 2015, 10:02 am
On May 7, 2015, a Financial Industry Regulatory Authority (“FINRA”) arbitration panel (the “Panel”) awarded (the “Award”) $500,000 to Respondent, John Offenburger (“Offenburger”), against the Claimants Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barney FA Notes Holdings, LLC (collectively “Morgan Stanley” and/or “Claimants”), regarding a promissory note dispute. [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]
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]
8 Mar 2016, 1:08 pm
On February 22, 2016, a Financial Industry Regulatory Authority (“FINRA”) panel (the “Panel”) rendered an award (the “Award”) dismissing Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barney FA Notes Holding, LLC’s (collectively “Morgan Stanley”) promissory note claim against one of its registered representatives, Brandon Neal (“Neal”), and granting Neal’s counterclaims,… [read post]
21 Aug 2012, 2:12 pm
In a FINRA arbitration statement of claim filed in April 2011, Morgan Stanley Smith Barney (“MSSB”) sought $68,239.00 in compensatory damages plus interest, costs, and fees from Respondent Richard Swetish, who had been an employee with the firm. [read post]
29 Aug 2012, 11:11 am
In a FINRA arbitration statement of claim filed in April 2011, Morgan Stanley Smith Barney (“MSSB”) sought $68,239.00 in compensatory damages plus interest, costs, and fees from Respondent Richard Swetish, who had been an employee with the firm. [read post]
24 Jun 2013, 5:58 am
After a four-year process, Morgan Stanley has agreed to purchase the remaining 35% share of Smith Barney from Citigroup as soon as next week, the firm announced on Friday.Finishing Touches On Citi Deal Boost Morgan Stanley Wealth Management [read post]
30 Mar 2012, 3:48 pm
The largest fund by assets, Morgan Stanley Smith Barney Spectrum Select LP, faced $55.2 million in redemptions and lost $67.9 million. [read post]
15 Oct 2021, 12:10 pm
Morgan Stanley sought a temporary r... [read post]
11 Nov 2011, 5:40 am
The Financial Industry Regulatory Authority (FINRA) has fined Morgan Stanley Smith Barney (Morgan Stanley) $1 million and ordered restitution for excessive markups and markdowns charged to customers on bond transactions. [read post]
13 Jul 2018, 6:48 am
If you have questions or concerns regarding investments made with Barry Connell and Morgan Stanley Smith Barney, the securities attorneys of The White Law Group may be able to help. [read post]
31 Jan 2013, 4:26 am
In the Matter of the FINRA Arbitration Between Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barne... [read post]
22 Sep 2019, 11:54 am
Smith, Morgan Stanley in Minneapolis, MN Are you concerned about investments with Kevin P. [read post]
16 Oct 2012, 1:59 pm
Morgan Stanley Smith Barney LLC and Brian Wilder (FINRA Arbitration No. 11-03937), a FINRA arbitration panel found against respondents and annexed a 25 page Arbitrators' Report to the Award which excoriated respondents for misappropriation of trade secrets (Fidelity's customer list) among other violations. [read post]
