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Registered Rep. September 3, 2003 David A. Gaffen	Two Smith Barney Reps Deny NYSE Allegations Two former Smith Barney employees have denied WorldCom-related allegations brought against them by the NYSE.
Registered Rep. November 1, 2002 David A. Geracioti	Spartis, Elias Each Seek $100M From Smith Barney Spartis and Elias claim they were wrongfully fired in February. They claim that Smith Barney did not adequately represent them in WorldCom-related customer complaints.
Registered Rep. October 23, 2003 David A. Gaffen	Spartis Cleared In Failure to Cooperate Charge Former Smith Barney broker Phil Spartis, who was responsible for overseeing the options exercise program for WorldCom employees, has been cleared of a charge brought against him by the New York Stock Exchange.
Registered Rep. September 24, 2002 David A. Gaffen	Former Brokers Sue SSB, Grubman, Even Sandy Weill Want $100 Million Each for Wrongful Termination, Defamation Spartis and Elias claim that they were wrongfully fired from their positions in February of this year after the firm, in their eyes, did not adequately represent them in complaints filed by customers related to WorldCom.
Registered Rep. March 1, 2006 Kristen French	Broker Fights for His Reputation--and Wins (Some of It Back) Philip Spartis, a former highflying Salomon Smith Barney broker, last week won a $1 million defamation judgment against lawyer Stuart Goldberg in an Arizona court.
Registered Rep. July 25, 2007 Kevin Burke	Smith Barney Fined $50 Million for Market Timing; More Firms, Reps To Be Fined So you thought the market timing scandal was over? Think again.
Registered Rep. March 1, 2005 Geoff Lewis	The Bloody Mess After the Internet Bubble In this excerpt from Blood On The Street: The Sensational Inside Story of How Wall Street Analysts Duped a Generation of Investors author Charles Gasparino offers two versions of the broker story.
Registered Rep. November 1, 2006 Angela Covo	Skirts Vs. Smith Barney Less than 10 years after they settled the infamous "boom-boom room" case, Smith Barney is being sued for gender discrimination again.
Registered Rep. May 30, 2003 David A. Gaffen	The New Smith Barney CEO Sallie Krawcheck was recruited to restore the credibility of Smith Barney and lead the business through its toughest slump in a generation. Krawcheck wants Smith Barney advisors to more than double their average annual production to $1 million.
Registered Rep. September 27, 2006 Angela Covo	Women on Wall Street Still Fighting Discrimination Less than 10 years after they settled the infamous "boom-boom room" case, Smith Barney is being sued for discrimination again. The new lawsuit doesn't include sexual-harassment charges, but does address the economics of gender discrimination.
Registered Rep. April 28, 2003 Will Leitch	Historic Settlement Doesn't Target Brokers -- But You're Hardly Home Free Now that the Wall Street global settlement is official, brokers might be inclined to heave a sigh of relief. Don't. While the settlement will have a lasting impact on the brokerage industry, brokers have been unscathed by the Spitzer investigations -- so far.
Registered Rep. May 1, 2005 John Churchill	Class-Action Threat Smith Barney is facing a new round of sex-discrimination suits.
Registered Rep. July 9, 2003 David A. Gaffen	Score One For Smith Barney In Cap Plan Hearings A superior court judge in California has ruled for Smith Barney in a case related to a deferred compensation plan that has been the subject of several lawsuits from brokers who formerly worked for the firm. The court said the CAP is not unlawful and does not violate labor laws.
Registered Rep. May 1, 2006 John Churchill	Score One for Diversity UBS has hired a prominent black Smith Barney broker.
Registered Rep. October 1, 2002 Jonathan P. Arfa	First, Hire the Lawyers With heavy investor losses, customer claims filed with the NYSE and the NASD are expected to hit an all-time high in 2002. What should a broker do if they are the target of a complaint?
Registered Rep. December 4, 2002 Rick Weinberg	Weill Postpones Elimination of Salomon Name Sandy Weill, the chairman of Salomon Smith Barney's parent Citigroup, has informed brokers and other employees that plans to eliminate the Salomon name, a Wall Street hallmark for nearly a century, have been postponed, according to sources.
Registered Rep. April 5, 2006 John Churchill	UBS Wins Prominent Black Rep From Smith Barney In what can be considered a coup of sorts for the firm, UBS hired a prominent black Smith Barney broker this past winter -- while it was under fire from a lawsuit brought by former brokers alleging a pattern and practice of racial discrimination.
Registered Rep. November 1, 2002 Gaffen & Weinberg	Brokers React to Citi's Research Move Sallie Krawcheck, former head of independent research firm Sanford C. Bernstein, will head a new business unit of Citigroup that will operate under the name Smith Barney, and include the private client group. Smith Barney brokers are skeptical, though.
Registered Rep. November 29, 2006 Halah Touryalai	Merrill Lynch to Pay National Overtime Settlement The financial firm has decided to consolidate the numerous overtime lawsuits that have been filed against the firm and settle nationally with its brokers.
Registered Rep. January 9, 2008 Halah Touryalai	Smith Barney Snags Three Advisors From Rivals Smith Barney has started off the new year right with a recruiting victory. The firm recently hired three Merrill Lynch reps and one UBS advisor.
Registered Rep. May 7, 2007 Christina Mucciolo	Smith Barney Closes a Few Offices, Prepares to Consolidate Others The firm prepares to consolidate as part of a larger cost-cutting program in the works at parent Citigroup.
Registered Rep. October 1, 2006 John Churchill	Crackberry Addicts Fight Back Run afoul of the law while tapping or yapping into your Blackberry and you may have a case-against your employer.
Registered Rep. September 13, 2007 Halah Touryalai	Overtime Finally Pays Off Smith Barney brokers may be the first to cash in on overtime lawsuits that have been all the rage over the last two years.
Registered Rep. March 1, 2006 John Churchill	To the Bitter End How a veteran Smith Barney broker is fighting to keep deferred compensation after leaving the firm to become an independent RIA.
Registered Rep. December 1, 2005 Halah Touryalai	Smith Barney: New Focus On the Horizon While most Smith Barney advisor respondents were generally unimpressed by the acquisition of Legg advisors, it'll be interesting to see if Smith Barney's jettisoning of its asset management group -- and resulting new focus on retail distribution -- will rejuvenate the firm.
Registered Rep. March 1, 2003 Will Leitch	CAP and Frown A long-running dispute over a Salomon Smith Barney Capital Accumulation Plan (CAP) is going to trial.
Registered Rep. October 9, 2008	Smith Barney Closing Branches, Letting Managers Go As part of a larger cost-cutting effort, Smith Barney is consolidating some of its branch offices and laying off a number of its branch managers.
Registered Rep. January 1, 2003 Will Leitch	A Reign of Terror Against Women The topic of sex discrimination at brokerage houses is a sensitive one in the industry. While many would like to think it's an ancient issue, sexual misconduct remains a powerful thorn in the industry's side.
Registered Rep. August 12, 2003 David A. Gaffen	Building a Better Separate-Account Mousetrap Separately managed accounts can be confusing, but the paperwork and operations behind them need not be -- or at least that's the thrust of a new effort by Smith Barney Consulting Group.
Registered Rep. April 18, 2007 Halah Touryalai	Chuck Prince: Smith Barney Goin' Nowhere Citigroup's CEO has been at the center of company news recently with his plans to cut costs including last week's announcement of about 17,000 job cuts. That cut may affect over 100 Smith Barney employees and about 30 advisors.
Registered Rep. June 21, 2007 Christina Mucciolo	Smith Barney Golden Handcuffs Hard to Crack A New Jersey Appellate Court's reversal of a lower court's decision is another notch in Smith Barney's belt.
Registered Rep. December 1, 2002 David A. Gaffen	Light A Candle, or Curse the Darkness For brokers and financial advisors, 2002 may be remembered as the year in which those who knew they had the right stuff redoubled their efforts to elevate their skills and become the kind of advisors who could survive the bear market and build a 21st century practice.
Registered Rep. October 4, 2006 John Churchill	Citigroup Wins Long, Strange CAP Battle After going two for three in a unique tug of war involving both the arbitration and court systems, former Smith Barney broker James McCarthy is likely throwing in the towel in his three-year fight for the money left in his deferred-compensation plan.
Financial Planning June 1, 2013 Miriam Rozen	How to Hire a Good Lawyer Finding the right attorney requires research, time, thought - and sometimes a dose of bravery.
Registered Rep. December 1, 2005 Kristen French	Where's My Money? After California brokers won $37 million in an overtime lawsuit against Merrill Lynch in August, a slew of copycat lawsuits have been filed against other brokerage firms, many of them in New York.
Registered Rep. April 27, 2010 Halah Touryalai	Judge Says Citi Brokers Must Repay Bonuses; Appeal Comes Next Former Citigroup brokers, who wanted courts to dismiss debts the firm said they owed on loans awarded when they were hired, were turned down by a district court judge. But they are planning to appeal that decision.
Registered Rep. June 1, 2004 John Churchill	Questions for the Defense 2004 has been a good year for investors thus far, but you'd hardly know it to look at the number of arbitration filings.
Registered Rep. September 1, 2004 John Churchill	Handcuffs Made of Gold Deferred-Comp Plans Can be an Advisor's Lucrative Friend... Should I Stay or Should I go?...
Registered Rep. February 23, 2007 Kevin Burke	Disgruntled Smith Barney Brokers Are Voting with Their Feet Sixty-nine brokers left Smith Barney, just ahead of a three-day weekend. Fridays before a long weekend are historically prime times for unhappy brokers to make a clean break, but the large number of brokers taking off on a single day is alarming.
Registered Rep. August 1, 2003	Ten To Watch 2003 The members of our "Ten to Watch" list are among those saddled with having to manage in this tough environment. What makes this group different is that each member has proven influential enough to play some role in creating the securities industry's environment for the year to come.
BusinessWeek August 13, 2007 Lewis Braham	Want To Take On Your Broker? Investors' odds have shrunk in recent years. Even if you win, don't expect a windfall.
Registered Rep. December 12, 2006 Halah Touryalai	Smith Barney Pay Package: Perks Balance Cuts? This week, Smith Barney will become the first firm to make a change to its payout grid as a result of the securities industry's recent battle over broker overtime pay and so-called chargebacks.
Registered Rep. March 7, 2011 Jerry Gleeson	Morgan Stanley May Drop "Smith Barney" From Name Will the Smith Barney name go the way of A.G. Edwards, Bear Stearns, and other brokerages whose historic identities were sublimated following acquisitions by larger firms?
Registered Rep. December 1, 2002 Ross Tucker	Happy Holidays! You're Fired. The ax will fall at year's end for some 700 of 13,500 Morgan Stanley brokers. Some branches will be closed entirely.
Registered Rep. January 22, 2003 Will Leitch	Busting a CAP Opponents of Salomon Smith Barney's Capital Accumulation Plan to get a day in court
Registered Rep. January 1, 2007 Kristen French	More or Less? Smith Barney overhauled its pay package -- just in time for the new year. Some of the changes it made were pretty radical -- especially for an industry in which any pay change, no matter how minor, is often a source of uproar.
Registered Rep. April 29, 2004 David Gaffen	Smith Barney Stays the Course Contrary to other large wirehouse brokerages, Smith Barney does not plan on aggressively expanding its sales force at this time.
Registered Rep. November 18, 2005 Kristen French	Smith Barney Cuts Pay for Smaller Brokers The new pay scale was announced to brokers internally in October and will take effect in January.
Registered Rep. December 16, 2004 David A. Gaffen	Smith Barney's Matthews Retires; Johnston Steps In Tom Matthews, president of Smith Barney's global private client group, is retiring and Charles Johnston, currently director of the retail branch system at the firm, will replace him.
Registered Rep. June 1, 2009 David Geracioti	Can You Say, "Morgan Stanley Smith Barney?" The Joint Venture Launches Today The deal merging Citi's brokerage (Smith Barney) with Morgan Stanley's Global Wealth Management Group is closed -- ahead of schedule.