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 ...

Morgan Stanley has been ordered by a Finra panel to pay $11.7 million to a client over a covered call option strategy that caused big tech stock positions to be whisked out of the client’s ...

Finra dings Morgan Stanley $802,000 for overcharging clients Morgan Stanley was penalized for failing to catch excess sales charges and fees from mutual fund transactions between 2015 to 2021. DEC ...

The Finra panel agreed with his argument. In 2017, Morgan Stanley and UBS prominently dropped out of the broker protocol where firms agreed to avoid litigation when it came to advisors switching ...

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 financial regulator fined Morgan Stanley's retail brokerage $5 million, saying it lacked clear policies on communications with customers about their commitment to buy shares in initial public ...

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