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.

M assachusetts’ 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 ...

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 ...

Morgan Stanley has been fined $2 million in Massachusetts for its role in the sale of First Republic Bank stock in the lead-up to its collapse in 2023. According to a statement from the office of ...

Morgan Stanley failed to properly vet the former First Republic CEO, identified as "Customer One," who sold over $6.8 million in First Republic stock from February 2022 to March 2023 — just ...

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 ...

Morgan Stanley: Tesla will produce 2 million vehicles in 2022 In a recent statement from Adams Jonas, a Morgan Stanley analyst, Tesla production this year may hit 2 million.

Morgan Stanley wins a $7.4 million clawback from a former advisor who left in 2023 to go to First Republic. Robert Daly was part of a star team that left Morgan Stanley in 2023 to join First ...

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 ...

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.