The U.S. Financial Industry Regulatory Authority (FINRA) is investigating Morgan Stanley over how the firm screened clients for money-laundering risks, the Wall Street Journal reported on Tuesday, ...

Morgan Stanley is under investigation by FINRA over how it vetted clients for money-laundering risks, adding to existing federal scrutiny of its wealth-management and trading units.

A probe by Finra, Wall Street’s self-regulator, spans the wealth unit as well as the division that houses trading.

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

Morgan Stanley MS -0.64% is being probed by the Financial Industry Regulatory Authority over whether the Wall Street giant properly vetted its clients for money-laundering risks. The probe by Wall ...

Regulation and compliance Aiming to get deferred comp ruling overturned, Morgan Stanley misses By Dan Shaw July 10, 2025, 5:32 p.m. EDT 6 Min Read David Taljat/Taljat - stock.adobe.com ...

Morgan Stanley CEO Ted Pick told investors on Tuesday he expected the Wall Street bank to have a strong end to the quarter after U.S. tariff announcements paused activity in April.

Morgan Stanley received at least six requests from Finra for large amounts of data, including one in recent weeks, the WSJ said. This article was provided by Bloomberg News.