featured, FINRA, Morgan Stanley
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Morgan Stanley Smith Barney LLC has agreed to pay a fine of $400,000 as a part of a settlement with FINRA.
E*Trade, featured, gamestop, Keith Gill, meme stocks, Morgan Stanley, Morgan Stanley buys E*Trade, NYSE:GME, NYSE:MS, Roaring Kitty, stock manipulation
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On Monday GME stock soared by 21% closing at $28, leaving Mr. Gill’s E*Trade account showing an $85 million profit.
CME, CME fine, featured, Morgan Stanley
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International derivatives marketplace CME Group has posted a notice of disciplinary action against Morgan Stanley & Co. LLC.
featured, Morgan Stanley, SEC
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Morgan Stanley agrees to pay more than $249 million to settle fraud charges and for failing to enforce information barriers.
featured, Morgan Stanley, Ofgem, WhatsApp
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These communications were made by wholesale energy traders, on privately-owned phones via WhatsApp, which discussed energy market transactions.
charting software, E*Trade, featured, Morgan Stanley, Power E*Trade
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Charting enhancements deliver more insight, analysis and control amid choppy markets and an uncertain economic environment.
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).
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