Tag: Financial Industry Regulatory Authority

Blog, Securities Fraud Articles

Excessive Markups Cost Morgan Stanley a $1 Million Fine

According to a Financial Industry Regulatory Authority (FINRA) press release, “it has fined Morgan Stanley & Co. Inc. and Morgan...

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Blog, Securities Fraud Articles

FINRA Proposes More Disclosure for Private Placement Offerings

According to canadiansecuritieslaw.com the Financial Industry Regulatory Authority (FINRA) recently “published proposed amendments to its...

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