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.

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 ...

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.

Morgan Stanley was fined $2 million by a Massachusetts regulator over its failure to monitor certain stock sales by a former First Republic CEO during the months leading up to the collapse of the ...

The U.S. Securities and Exchange Commission has fined Morgan Stanley Smith Barney (MSSB) $35 million. The fine is because it did not keep the personal identification of its customers safe for five ...

Morgan Stanley wins a $7.4 million clawback from a former advisor who left in 2023 to go to First Republic.

The widow claims Morgan Stanley should have done more to slow or block her withdrawal of more than $2 million from the firm.

Morgan Stanley has slapped its own bankers with fines of $1 million or more as it looks to crack down on the misuse of WhatsApp and other apps to conduct official business, according to a report ...

Morgan Stanley fined $2 million for failing to monitor First Republic executive's stock sales. James Herbert II, First Republic's executive chairman, sold $6.8 million in stock before the bank's ...

Morgan Stanley fined some of its own bankers more than $1 million each for conducting business on WhatsApp and other messaging platforms, the latest fallout from an industrywide probe that saw U.S ...

The Financial Industry Regulatory Authority has censured and fined Morgan Stanley $1.6 million for failing to close out 239 inter-dealer transactions within twenty days, as well as for failing to ...

Securities regulators are fining Morgan Stanley $35 million after its wealth management division failed to protect the personal information for 15 million customers. Staffers at Morgan Stanley ...