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MORGAN STANLEY FINED $1 MILLION FOR EXCESSIVE MARKUPS
Morgan Stanley has been ordered to pay $371,000 (including interest) in excessive markups and markdowns for corporate and municipal bond transactions. FINRA (formerly the ...
Read moreMorgan Stanley to Pay Over $7 Million for Dispensing Unsuitable Early Retirement Investment Advice
Finra regulators have fined as fined Morgan Stanley $3 million and ordered it to pay restitution of more than $4.2 million to a group ...
Read moreMorgan Stanley Smith Barney To Pay $200,000 For Failures To Supervise
The U.S. Commodity Futures Trading Commission issued an Order settling its charges that Morgan Stanley Smith Barney violated the egulations by failing to supervise ...
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