Tagged with "new hampshire bureau of securities regulation"

Morgan Stanley Agrees to Pay the New Hampshire Bureau of Securities Regulation $1 Million to Settle Churning Allegations by an Ex-Broker

Posted on December 21st, 2018 at 9:44 AM
Morgan Stanley Agrees to Pay the New Hampshire Bureau of Securities Regulation $1 Million to Settle Churning Allegations by an Ex-Broker

Morgan Stanley and the New Hampshire Bureau of Securities Regulation have reached a $983,000 settlement agreement stemming from allegations of the firm's failure to supervise ex-broker, Justin Amaral for excessive trading and other unauthorized activities in three client accounts.

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