Morgan Stanley agrees to pay more than $249M to settle SEC charges
Morgan Stanley agrees to pay more than $249 million to settle fraud charges and for failing to enforce information barriers.
Morgan Stanley agrees to pay more than $249 million to settle fraud charges and for failing to enforce information barriers.
These communications were made by wholesale energy traders, on privately-owned phones via WhatsApp, which discussed energy market transactions.
Charting enhancements deliver more insight, analysis and control amid choppy markets and an uncertain economic environment.
Morgan Stanley is considering three “strong” candidates as potential replacements for James Gorman in the CEO position.
Kenneth Ho had been with Morgan Stanley for 10 years, joining in 2013 as Executive Director and Head of APAC Macro eDistribution.
From January 2014 through December 2018, Morgan Stanley failed to reasonably supervise nine registered representatives.
Morgan Stanley Capital Group, Inc. was issued a summary fine in the amount of $10,000 for violating ICE Rule 4.07(b).
Morgan Stanley Smith Barney LLC (MSSB) has agreed to pay a $35 million penalty to settle the SEC charges.
Morgan Stanley has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Eurex announces that Morgan Stanley has entered the listed FX business of Europe’s leading derivatives exchange.