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Tag: Morgan Stanley FINRA

Morgan Stanley to pay Customers for 529 Savings Plan Overcharges, featured by top securities fraud attorneys, The White Law Group

Blog

December 31, 2020

Morgan Stanley to pay Customers for 529 Savings Plan Overcharges

Morgan Stanley’s Supervisory Failures result in almost $1.4 Million in Overcharges According to a Letter of Acceptance Waiver and Consent...

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Morgan Stanley hit with $950,000 for Failure to Supervise, featured by top securities fraud attorneys, The White Law Group

Blog, Current Investigations, Securities Fraud

August 14, 2020

Morgan Stanley hit with $950,000 for Failure to Supervise

FINRA sanctions Morgan Stanley after broker allegedly churns customer accounts. According to the Financial Industry Regulatory Authority...

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Morgan Stanley Censured & Fined $875,000, featured by top securities fraud attorneys, The White Law Group

Blog, Current Investigations

July 9, 2020

Morgan Stanley Censured & Fined $875,000

FINRA sanctions Morgan Stanley for allegedly inaccurate securities trading data. According to the Financial Industry Regulatory Authority...

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Morgan Stanley

Blog, Current Investigations

September 26, 2017

FINRA Charges Morgan Stanley $13 Million for Supervisory Issues

Morgan Stanley to pay $13 Million in Fines and Restitution According to The Financial Industry Regulatory Authority (FINRA) on Monday,...

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Blog, Securities Fraud

May 7, 2014

Morgan Stanley Fined $5 Million

According to FINRA.org, the Financial Industry Regulatory Authority (FINRA) fined Morgan Stanley’s brokerage firm $5 million for...

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