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 ...

The Goldman Sachs Group, Inc. (NYSE:GS) ranks among the best momentum stocks to buy. On July 17, Morgan Stanley kept its ...

The inquiry is examining the firm's client risk assessments and related practices from October 2021 to September 2024.

Morgan Stanley paid $1.65 million to settle with the SEC at the time, and submitted to a cease-and-desist order from the agency compelling the firm to improve its e-mail retention practices. Morgan ...

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.

The SEC said that while Morgan Stanley Smith Barney promised wrap fee clients a "transparent" fee structure, some managers sent most or all of their client trades to third party brokers, causing ...

Morgan Stanley clears SEC 'sweeps' probe, still faces state scrutiny By Dan Shaw May 07, 2025, 5:23 p.m. EDT 2 Min Read Andrea Verdelli/Bloomberg ...

Spokespeople for Morgan Stanley and Wells Fargo both declined to comment about the matter. It's too early to tell the impact of the SEC's look at Morgan Stanley and client cash, noted one analyst.

Both Passi and Morgan Stanley knowingly violated sections of the Securities Exchange Act, according to the SEC filing. Morgan Stanley was ordered to pay a civil penalty of $83 million.

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.

The SEC has no choice but to investigate everyone: Morgan Stanley's complicated so-called Dead Presidents deals, named Buchanan and Jackson, were particularly "troubling," says Stephen Gandel in ...

Stephen M. Cutler, the SEC's chief of enforcement, said the commission is investigating both mutual fund companies that made payments to Morgan Stanley and 15 other brokerage houses that may have ...