Massachusetts’ securities regulator fined Morgan Stanley $2 million for allegedly failing to properly monitor insider securities sales by a former CEO of First Republic Bank in the months prior ...

Morgan Stanley, the global investment bank, has agreed to pay a $2 million fine to settle an investigation by state regulators that determined the bank failed to properly monitor stock trades it ...

Morgan Stanley agreed to pay $2 million to settle the investigation by the Massachusetts securities regulator. The bank neither admitted nor denied wrongdoing.

As is customary in such cases, Morgan Stanley did not admit or deny wrongdoing, though it will pay $2 million in fines to the State of Massachusetts, where regulators have been active policing ...

A Morgan Stanley financial advisor team that had more than $1.5 billion in assets under management jumped to Americana Partners, a Houston-based independent wealth management firm led by former ...

LONDON -Britain's competition regulator has fined Citi ... Accounts RBC received the largest fine at 34.2 million pounds, followed by Morgan Stanley (29.7 million pounds) and HSBC (23.4 million ...

In the months before it failed last year, the executive chairman of First Republic Bank sold more than $6.8 million worth of stock through Morgan Stanley. The bank has now settled an investigation ...