featured, James Gorman, Morgan Stanley, NYSE:MS
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Morgan Stanley is considering three “strong” candidates as potential replacements for James Gorman in the CEO position.
featured, Kenneth Ho, Mitsubishi Corporation, Morgan Stanley, MUFG, MUFG Bank
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Kenneth Ho had been with Morgan Stanley for 10 years, joining in 2013 as Executive Director and Head of APAC Macro eDistribution.
featured, FINRA, Morgan Stanley
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From January 2014 through December 2018, Morgan Stanley failed to reasonably supervise nine registered representatives.
ICE, ICE Futures, Morgan Stanley
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Morgan Stanley Capital Group, Inc. was issued a summary fine in the amount of $10,000 for violating ICE Rule 4.07(b).
featured, Morgan Stanley, SEC
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Morgan Stanley Smith Barney LLC (MSSB) has agreed to pay a $35 million penalty to settle the SEC charges.
featured, FINRA, Morgan Stanley
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Morgan Stanley has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Deutsche Börse, Eurex, Morgan Stanley
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Eurex announces that Morgan Stanley has entered the listed FX business of Europe’s leading derivatives exchange.
featured, Morgan Stanley
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Between April 2018 and January 2021, Morgan Stanley deleted 28,109 expiring OTC option positions from its reports to LOPR.
E*Trade, Morgan Stanley
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Institutional Securities business of Morgan Stanley reported record net revenues of $29.8 billion for full year 2021.
ERISA, Morgan Stanley, Morgan Stanley compensation
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Morgan Stanley insists that Matthew T. Shafer’s claim for individual benefits is undisputedly arbitrable, and could afford him complete relief.
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