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

Morgan Stanley is under investigation by the Financial Industry Regulatory Authority (FINRA) over potential lapses in ...

Morgan Stanley is being probed by the Financial Industry Regulatory Authority over its vetting of clients for the risk of ...

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

Morgan Stanley’s wealth management business is facing fresh scrutiny over its anti-money-laundering policies, The Wall Street ...

Finally, Morgan Stanley’s AML department did not reasonably monitor client trades in penny stocks for potentially suspicious activity, according to FINRA. The firm’s clients deposited approximately ...

The Financial Industry Regulatory Authority said on Monday it ordered Wall Street investment bank and securities brokerage Morgan Stanley (MS.N) to pay $13 million (9.61 million pounds) in fines ...

FINRA hit Morgan Stanley with $13 million in sanctions for failing to properly supervise short-term trades of unit investment trusts, the regulator announced Monday. The regulator credited Morgan ...

Morgan Stanley will pay nearly $1.7 million in restitution for charging excessive fees in some 529 college savings plans, according to FINRA. The settlement is the first action springing from the ...

A former Morgan Stanley broker will pay $5,000 in fines after FINRA found he bought and sold customers’ securities without their consent, a practice the firm didn’t allow at the time ...

SYDNEY] Morgan Stanley is being probed by the Financial Industry Regulatory Authority (Finra) over its vetting of clients for ...