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Tag: SEC customer protection rule

Morgan Stanley

Blog

April 12, 2017

Morgan Stanley to Pay Massachusetts $1 Million

Morgan Stanley Settles Sales Contest Allegations Morgan Stanley will pay $1 million to Massachusetts to settle charges brought by Secretary...

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Morgan Stanley

Blog

December 20, 2016

Morgan Stanley Charged $7.5 Million for Using Customer Cash

Investigation of Morgan Stanley Leads to Charges The Securities and Exchange Commission announced today that Morgan Stanley has agreed to...

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