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Morgan Stanley admitted to making false statements in connection with block trades from 2018 through August 2021. Its $249.4 million payment includes fines, restitution and the forfeiture of...
A former Morgan Stanley financial advisor has been sentenced to more than seven years in prison after admitting he ran a $7 million Ponzi scheme at the firm for more than a decade.
Morgan Stanley agreed to pay $249 million in penalties to resolve investigations by federal prosecutors and securities regulators into the firm’s practices in handling some large stock...
The SEC’s order concerning Passi finds that he willfully violated Section 10 (b) of the Exchange Act and Rule 10b-5 thereunder, orders him to pay a $250,000 civil penalty, and imposes associational, penny stock, and supervisory bars.
Morgan Stanley agreed to pay $249mn to settle long-running federal investigations into misconduct at its block trading business, as one of its former top investment bankers admitted to leaking...
Morgan Stanley MS 3.17% agreed Friday to pay $249 million to settle criminal and regulatory investigations into allegations that some employees improperly shared information about clients’...
Morgan Stanley agreed to pay a fine of $6.5 million to a coalition of six states for compromising the personal data of millions of customers while decommissioning computers at the financial...
Morgan Stanley claimed it had the most confidential block trading operation, but prosecutors said it was secretly leaking info to hedge funds to lessen its risk, costing sellers millions
Morgan Stanley admitted to making false statements in connection with block trades from 2018 through August 2021. Its $249.4 million payment includes fines, restitution and the forfeiture of...
The former Segantii Capital Management employee whose trading formed part of the US probe into Morgan Stanley that the Wall Street bank settled this year for $249mn has said the Securities and...