News

Morgan Stanley Settles With SEC, NASD. Firm Accused of Failing to Disclose Funds' Payments. November 17, 2003. By Brooke A. Masters. and ...
Morgan Stanley is under investigation by the Financial Industry Regulatory Authority (FINRA) over potential lapses in anti-money-laundering (AML) controls related to its wealthy clientele, according ...
A probe by Finra, Wall Street’s self-regulator, spans the wealth unit as well as the division that houses trading.
Citadel Securities bought the unit of Morgan Stanley that’s focused on electronic market-making for US equity options, a move that further cements the firm’s dominant role in the popular derivatives.
Morgan Stanley to pay $15M SEC fine to settle 4 financial advisors’ theft charges. The financial services firm failed to detect “hundreds” of instances when former employees misappropriated ...
Morgan Stanley is expected to pay a $50 million civil penalty as part of an agreement with the Securities and Exchange Commission to settle charges relating to the way the firm sold mutual funds ...
Morgan Stanley said on Monday it had received requests from the enforcement division of the U.S. securities regulator regarding advisory account cash balances swept to affiliate bank deposit programs.
Morgan Stanley and Wells Fargo are not alone facing such questions. "My understanding is that a lot of firms are facing these types of discussions with the SEC," said one Wall Street veteran, who ...
Morgan Stanley's profit beat Wall Street estimates in the second quarter as its traders cashed in on volatile markets, but ...
Morgan Stanley announced in August that the SEC was reviewing the program. Days earlier, the bank raised rates to around 2% – from as little as 0.01% – on cash sweeps in advisory accounts. Not ...
Morgan Stanley CEO James Gorman has had more calls with the SEC chairman than the head of any other major Wall Street bank, according to a Wednesday report by the Financial Times. Since he took up ...