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September 26, 2017
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Blog, Current Investigations
Morgan Stanley to pay $13 Million in Fines and Restitution According to The Financial Industry Regulatory Authority (FINRA) on Monday, Morgan Stanley must pay $13 million in fines and restitution to clients for inadequately supervising certain short-term trades. FINRA said that between January 2012 and June 2015
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August 25, 2017
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Blog, Current Investigations
Morgan Stanley Censured & Fined According to FINRA, Morgan Stanley has agreed to pay $500,000 to the Financial Industry Regulatory Authority and restore $103,219 to investors for improperly executing trades of preferred securities. The letter of acceptance, waiver and consent posted on Finra’s enforcement
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August 1, 2013
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Blog, Securities Fraud
Morgan Stanley consented to pay the New Jersey Bureau of Securities $100,000 to resolve an investigation involving the improper sale of non-traditional Exchange Traded Funds (ETF) According to the Consent Order, between 2007 and 2009 Morgan Stanley not only failed to provided adequate training to their brokers on
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