FINRA fines Morgan Stanley for deficient supervision of nine reps
From January 2014 through December 2018, Morgan Stanley failed to reasonably supervise nine registered representatives.
Morgan Stanley
Morgan Stanley Capital Group gets a slap on the wrist for ICE rule violation
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 to pay $35M fine to SEC for failure to safeguard customer info
Morgan Stanley Smith Barney LLC (MSSB) has agreed to pay a $35 million penalty to settle the SEC charges.
FINRA fines Morgan Stanley for transaction reporting deficiencies
Morgan Stanley has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Morgan Stanley begins trading listed FX at Eurex
Eurex announces that Morgan Stanley has entered the listed FX business of Europe’s leading derivatives exchange.
FINRA fines Morgan Stanley for reporting deficiencies
Between April 2018 and January 2021, Morgan Stanley deleted 28,109 expiring OTC option positions from its reports to LOPR.
Morgan Stanley reports record Institutional Securities revenues for FY 2021
Institutional Securities business of Morgan Stanley reported record net revenues of $29.8 billion for full year 2021.
Morgan Stanley insists on arbitration of compensation claims brought by ex-advisor
Morgan Stanley insists that Matthew T. Shafer’s claim for individual benefits is undisputedly arbitrable, and could afford him complete relief.
Former JPMorgan traders argue against ex-Morgan Stanley trader testimony
Former JPMorgan traders claim that former Morgan Stanley trader Jonathan Luca is not experienced enough to testify at trial.
Nasdaq, SVB, Citi, Goldman, Morgan Stanley set up JV for private co stock trading
Nasdaq, SVB, Citi, Goldman Sachs, and Morgan Stanley launch new platform for trading private company stock.
