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

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.

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 ...

Morgan Stanley has agreed to pay the Securities and Exchange Commission (SEC) a $15 million penalty, with failing to reasonably supervise four investment adviser and registered representatives in ...

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 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.

The U.S. Financial Industry Regulatory Authority (FINRA) is investigating Morgan Stanley over how the firm screened clients ...

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.

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 ...

Morgan Stanley's chief executive James Gorman has had more conversations with the Securities and Exchange Commission's chairman than any other Wall Street bank, according to the Financial Times.