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 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 Is Fined for First Republic C.E.O.’s Stock Sales. ... Morgan Stanley did not admit or deny wrongdoing, though it will pay $2 million in fines to the State of Massachusetts, ...

Morgan Stanley. Photo: C. Ryan Barber/ ALM The Financial Industry Regulatory Authority has issued a $10 million fine against the broker-dealer Morgan Stanley Smith Barney LLC after concluding it ...

Wall Street's industry funded watchdog fined the U.S. brokerage unit of Morgan Stanley $10 million on Wednesday for compliance failures in the firm's anti-money laundering program, the regulator said.

In the months before it failed last year, the executive chairman of First Republic Bank FRCB 0.00 % increase; green up pointing triangle sold more than $6.8 million worth of stock through Morgan ...