The regulator alleges that Morgan Stanley compliance policies failed to prevent four financial advisors from stealing ...

Morgan Stanley Smith Barney will pay a $15 million penalty as part of a settlement with the Securities and Exchange ...

The U.S. Securities and Exchange Commission said that Morgan Stanley failed to detect hundreds of unauthorized transfers that ...

Morgan Stanley Smith Barney was charged Monday with failing to reasonably supervise four of its advisors - Michael Carter, ...

Morgan Stanley cooperated with the investigation, according to the SEC, and consented to the Dec. 9 cease-and-desist order ...

The bank failed to detect “hundreds” of instances when brokers misappropriated client funds through unauthorized Automated ...

A lack of supervision and internal controls at Morgan Stanley Smith Barney allowed four of its investment advisers to steal ...

Morgan Stanley will pay $15 million to settle claims that its Smith Barney unit failed to prevent four former employees from ...

The Securities and Exchange Commission has ordered Morgan Stanley to pay $15 million for failures that allowed four of its former advisors to misappropriate millions of dollars from advisory ...

(Bloomberg) -- Morgan Stanley will pay $15 million to settle ... with affected clients to compensate them for any harm.” The SEC said the resolution takes into account the firm’s self ...

Morgan Stanley Mortgage Securities Trust earns an ... higher than its average peer's 4.3%. Plus, its 30-day SEC yield (a standardized, point-in-time estimate of the fund’s future income return ...