MORGAN STANLEY SMITH BARNEY

Service Provider

Founded in Hidden

  1. dHidden
  2. gHidden
  3. oHidden
  1. Headcount: Hidden
  2. Assets Under Management: Hidden

Headquarters

Point of Contact

Former Morgan Stanley Smith Barney Brokers Win $5 Million Employment Dispute Arbitration Award

In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2011 and thereafter amended, Claimants Paladino and Vitale asserted The allegations arose in relation to the Claimants’ employment with Respondent ...

Read More >
Forbes
June 20, 2012
Report

Report inappropriate or irrelevant content

FINRA Fines Morgan Stanley Smith Barney $5M

Brokerage firm Morgan Stanley Smith Barney was fined $5 million by FINRA for not adequately training its staff on how to sell initial public offerings to retail customers. The Wall Street self-regulatory body alleged the failures were related to 83 IPOs ...

Read More >
Fox Business
May 5, 2014
Report

Report inappropriate or irrelevant content

The Morgan Stanley Smith Barney Breach: Losing Client Data the Old Fashioned Way

A few days ago, a friend of mine received several letters dated June 24, 2011 from Morgan Stanley Smith Barney, where he has kept brokerage accounts for himself and his children for many years. It began with the now familiar, “we care about you” phrase ...

Read More >
blog.credit.com
July 4, 2011
Report

Report inappropriate or irrelevant content

Morgan Stanley Smith Barney: The Timeline Going Forward

Once Morgan Stanley gives Citi notice it intends to buy an additional 14% of Morgan Stanley Smith Barney, the two firms will have roughly 45 days for their respective appraisers–likely their own investment banks–to submit a fair market value estimate ...

Read More >
The Wall Street Journal
May 31, 2012
Report

Report inappropriate or irrelevant content

Morgan Stanley Smith Barney Revamps Fees

(Dow Jones) Morgan Stanley Smith Barney is launching a pricing plan for fee-based accounts in April that will charge clients based on the level of service provided rather than the product. Morgan Stanley thinks this change from current pricing procedures ...

Read More >
Financial Advisor Magazine
December 14, 2009
Report

Report inappropriate or irrelevant content

Wisconsin Funeral Trust lawyers paid $1.3 million during receivership

They have denied any wrongdoing in earlier interviews. The bulk of the $11.75 million collected through settlements came from Wall Street powerhouses Morgan Stanley Smith Barney and Citigroup, the Wall Street firms that had employed the Hull brothers.

Read More >
Milwaukee Journal Sentinel
July 23, 2015
Report

Report inappropriate or irrelevant content

Financial firm announces new vice president

Earl has worked with the firm since 2012 and has employment history with Morgan Stanley Smith Barney and Citigroup Smith Barney. “Jon has been providing quality comprehensive planning for high net-worth individuals, businesses, and non-profit ...

Read More >
Rome Sentinel
July 23, 2015
Report

Report inappropriate or irrelevant content

Women on executive boards and women-owned businesses

The views expressed herein are those of the author and may not necessarily reflect the views of Morgan Stanley Wealth Management, or its affiliates. Morgan Stanley Smith Barney, LLC, member SIPC. The following two tabs change content below.

Read More >
RealVail
July 23, 2015
Report

Report inappropriate or irrelevant content

Kerri Gallagher: From Running Dropout to World Championships Team Member

“I didn’t think there was much else left for me in running,” she said. She began working for Morgan Stanley Smith Barney as a client service associate for a wealth management group. The job in Manhattan was a happy fit for Gallagher, despite a ...

Read More >
Runner's World
July 22, 2015
Report

Report inappropriate or irrelevant content

M.Kent Strosnider | MORGAN STANLEY SMITH BARNEY

M.Kent Strosnider, CFP, the executive director of wealth management at Morgan Stanley Smith Barney, has been named to lead the finance committee of the board of directors at the Pro Bono Counseling Project, an organization that ensures that Marylanders ...

Read More >
The Daily Record
July 7, 2015
Report

Report inappropriate or irrelevant content

Exclusive: Morgan Stanley Smith Barney rainmakers consider exit

NEW YORK | By Jessica Toonkel, Lauren Tara LaCapra and Ashley Lau The group has hired a lawyer to argue that they should be able to keep lucrative retention payments even if they quit, and they have also drafted a letter to Morgan Stanley CEO James Gorman ...

Read More >
Reuters
August 31, 2012
Report

Report inappropriate or irrelevant content

New Bosses at Morgan Stanley Smith Barney: Read the Memo

Brokerage joint venture Morgan Stanley Smith Barney hired Jeff Hack from J.P. Morgan Chase for the new post of chief operating officer, reported Deal Journal colleague Brett Philbin. The appointment was part of the management changes implemented by Gregory ...

Read More >
The Wall Street Journal
April 18, 2011
Report

Report inappropriate or irrelevant content

FINRA fines Morgan Stanley Smith Barney, Scottrade a total of $950,000

Breaking Existing-home sales rise 5.1% to 5.35 million rate in May, fastest since 2009

Read More >
Market Watch
June 22, 2015
Report

Report inappropriate or irrelevant content

Morgan Stanley Smith Barney fined $5M by FINRA

The Financial Industry Regulatory Authority announced that it has fined Morgan Stanley Smith Barney LLC $5M for supervisory failures related to the solicitation of retail customers to invest in IPOs. From February 16, 2012, to May 1, 2013, Morgan Stanley ...

Read More >
Yahoo Finance
May 6, 2014
Report

Report inappropriate or irrelevant content

Morgan Stanley Smith Barney is Now Morgan Stanley Wealth Management

Morgan Stanley Smith Barney is Now Morgan Stanley Wealth Management Morgan Stanley’s U.S. Wealth Management Business Has a New Name Following Largest-Ever Integration in the Wealth Management Industry NEW YORK--(BUSINESS WIRE)-- Morgan Stanley (NYSE: MS ...

Read More >
The Motley Fool
September 25, 2012
Report

Report inappropriate or irrelevant content

SEC, FINRA Enforcement: Morgan Stanley Fined on Muni Bond Shorts

Among recent enforcement actions, the Financial Industry Regulatory Authority censured and fined Morgan Stanley & Co. and Morgan Stanley Smith Barney LLC on supervisory failures regarding tax-exempt municipal bonds, and Stock USA Execution Services, Inc ...

Read More >
Think Advisor
July 29, 2015
Report

Report inappropriate or irrelevant content

Morgan Stanley Ducks Whistle-Blower Suit

Dec. 9 — Morgan Stanley Smith Barney LLC won dismissal of whistle-blower anti-retaliation claims by a former financial adviser who alleged he was fired for telling the FBI about criminal activity by the firm and clients in the run-up to the financial crisis.

Read More >
Bloomberg BNA
December 10, 2015
Report

Report inappropriate or irrelevant content

EVENTS OF NOV. 30 TO DEC. 24

With Lee Miller, of Everence Financial. 953-6655, orlee.miller@everence.com. Municipal Bonds: A Foundation of Quality: 10 a.m., Morgan Stanley Smith Barney, 2 N. Tamiami Trail, Suite 1100, Sarasota. Free. Christine Hicks, 363-8502. “Estate Planning ...

Read More >
Herald Tribune
November 29, 2015
Report

Report inappropriate or irrelevant content

Morgan Stanley to Take Over Smith Barney, With Citigroup’s Blessing

The joint venture, Morgan Stanley Smith Barney, was born in 2009, forged from Citigroup’s Smith Barney unit and Morgan Stanley’s counterpart, as a way to benefit both companies. For Citigroup, which had long identified the brokerage as a nonessential ...

Read More >
Deal Book
September 11, 2012
Report

Report inappropriate or irrelevant content

Joseph Buchanan Joins Steel Peak Wealth Management

After spending time at UBS Financial Services, Morgan Stanley Smith Barney & Laurel Wealth Advisors, Joseph Buchanan realized that you need to provide clients a low cost platform to trade, and the knowledge and support to navigate increasingly complicated ...

Read More >
University Chronicle
December 1, 2015
Report

Report inappropriate or irrelevant content

Morgan Stanley Smith Barney Gives Retention Pay

Advisers at Morgan Stanley Smith Barney who were eligible for retention packages as a result of the brokerages’ merger will get their checks, which range from 30% to 75% of their production in cash, Tuesday. The package, which was revealed to brokers ...

Read More >
The Wall Street Journal
January 27, 2010
Report

Report inappropriate or irrelevant content

Morgan Stanley Smith Barney gets new name

Morgan Stanley Smith Barney is now Morgan Stanley Wealth Management. Earlier this month, New York City wealth management firms Morgan Stanley and Citigroup Inc. (NYSE: C) agreed on Morgan Stanley (NYSE: MS) to buy a majority ownership in Morgan Stanley ...

Read More >
The Business Journal
September 25, 2012
Report

Report inappropriate or irrelevant content

Morgan Stanley Smith Barney Loses Personal Info Of 34,000 Clients

Brokerage Morgan Stanley Smith Barney, a joint venture between Morgan Stanley and Citigroup, said personal information of 34,000 investment clients stored on two CDs was lost in transit to a government office last month, the Wall Street Journal reported ...

Read More >
The Huffington Post
July 7, 2011
Report

Report inappropriate or irrelevant content

Morgan Stanley Data Breach Hits Investors

Personal information belonging to 34,000 investment clients of Morgan Stanley Smith Barney has been lost, and possibly stolen, in a data breach. According to two letters sent to clients, and obtained by Credit.com, the information includes clients' names ...

Read More >
ABC News
July 6, 2011
Report

Report inappropriate or irrelevant content

Morgan Stanley Is Killing 'Smith Barney' — Here's The Story Of How It Died

Morgan Stanley Smith Barney is changing its name to Morgan Stanley Wealth Management, effectively ending the Smith Barney brand that has been alive in some form since 1873, aside from a brief period in the early 2000's. Charles D. Barney & Co. in 1873 and ...

Read More >
The Business Insider
June 12, 2012
Report

Report inappropriate or irrelevant content

No news for MORGAN STANLEY SMITH BARNEY right now. Check back soon!
Powered by
Loading...
Loading...