Tagged with "maintained possession"

Morgan Stanley Fined By Regulators For Violating Customer Protection Rule

Posted on February 2nd, 2017 at 9:15 AM
Morgan Stanley Fined By Regulators For Violating Customer Protection Rule

Morgan Stanley has agreed to pay $7.5 million to settle SEC charges that it used trades involving customer cash to lower the firm’s borrowing cost. 

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LATEST NEWS AND ARTICLES

May 1, 2024
FINRA Arbitration Awards Wells Fargo Over $3 Million in Dispute with Ohio RIA Founders

A recent FINRA arbitration decision has ordered a Cincinnati-based registered investment advisor firm and two of its founders to pay Wells Fargo more than $3 million in combined damages.

May 1, 2024
Attorney Eccleston Receives AVVO Top Rated Lawyer Award 2024

 James Eccleston has been officially recognized as a Top Rated Lawyer by Martindale-AVVO.  

April 30, 2024
Commonwealth Financial Network Ordered to Pay $93.3 Million Over Conflicts of Interest

Commonwealth Financial Network has been directed to pay $93.3 million due to its failure to disclose conflicts of interest linked to a revenue-sharing program with a
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