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.

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, 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 ...

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 ...

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.

Morgan Stanley agreed to pay $2 million to settle the investigation by the Massachusetts securities regulator. The bank neither admitted nor denied wrongdoing.

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 ...

Regulators with the Federal Reserve and the Office of the Comptroller of the Currency (“OCC”) have fined JP Morgan Chase & Co. a combined total of $348.2 million over the bank’s failure to ...

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

Merrill Private Wealth Management has expanded its pool of elite advisors as it welcomes a multibillion-dollar team defecting from Morgan Stanley. Founded in 2007, Merrill's newest advisory group ...

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.

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 ...