The U.S. Financial Industry Regulatory Authority (FINRA) is investigating Morgan Stanley over how the firm screened clients ...

Morgan Stanley is under investigation by the Financial Industry Regulatory Authority (FINRA) over potential lapses in ...

Morgan Stanley is being probed by the Financial Industry Regulatory Authority over its vetting of clients for the risk of ...

The inquiry is examining the firm's client risk assessments and related practices from October 2021 to September 2024.

Morgan Stanley’s wealth management business is facing fresh scrutiny over its anti-money-laundering policies, The Wall Street ...

FINRA hit Morgan Stanley with $13 million in sanctions for failing to properly supervise short-term trades of unit investment trusts, the regulator announced Monday. The regulator credited Morgan ...

Morgan Stanley is hitting back against a former broker who is seeking to vacate a $1.2 million FINRA arbitration award on the grounds that one of the arbiters may have had conflicting interests.

According to Finra, Morgan Stanley's policy requires that financial advisers seeking to recommend more than 60,000 shares of a security that's not part of the S&P 500 stock index, ...

In May 2019, Morgan Stanley fired Maniatis. A former Morgan Stanley broker settled with FINRA this week. “Maniatis exercised discretion in seven customer accounts on 105 occasions,” FINRA said.

Morgan Stanley will pay nearly $1.7 million in restitution for charging excessive fees in some 529 college savings plans, according to FINRA. The settlement is the first action springing from the ...

SYDNEY] Morgan Stanley is being probed by the Financial Industry Regulatory Authority (Finra) over its vetting of clients for ...