Morgan Stanley was fined $2 million by a Massachusetts regulator over stock sales by a First Republic executive in the months leading up to the California lender’s collapse last year.

In addition to the $2 million fine, Morgan Stanley has been ordered to conduct an internal review of its policies and to provide training to its broker-dealers in Massachusetts on the prevention ...

Massachusetts’ securities regulator accused Morgan Stanley of failing to properly supervise sales of First Republic stock worth $6.8 million by a former First Republic CEO.

Britain’s financial regulator fines Morgan Stanley 1.4 million pounds ($2.1 million) for failing to prevent one of its traders from deliberately over-valuing assets.

WASHINGTON (MarketWatch) -- Two Morgan Stanley units were fined $2.9 million for "widespread" violations of NASD rules from 1999 to 2006, the private regulator said Tuesday. The NASD said Morgan ...

NEW YORK – Wall Street firm Morgan Stanley (MWD) was fined $2.65 million Thursday by the National Association of Securities Dealers (search) for selling shares in an initial public stock ...

Finra’s arbitration panel said in an arbitration resolution Wednesday that Morgan Stanley Smith Barney LLC, a unit of the bank, owes $3.3 million to James Groves, who won $168 million from Mega ...

HONG KONG—Hong Kong’s securities regulator on Wednesday fined and publicly reprimanded an Asian unit of Morgan Stanley for the failure of its internal controls related to trading, among other ...

Morgan Stanley 's MS Hong Kong division, Morgan Stanley Hong Kong Securities Ltd., has been fined HK$18.5 million ($2.4 million) by the Hong Kong's.

The $3.2 billion deal represents an increase from the $2.6 billion that Morgan Stanley agreed to pay last year. As NPR's Yuki Noguchi reports, "The final terms now include a program to help ...

Federal and state authorities on Thursday announced a $3.2 billion settlement with Morgan Stanley over bank practices that contributed to the 2008 financial crisis, including misrepresentations ...