The U.S. Financial Industry Regulatory Authority (FINRA) is investigating Morgan Stanley over how the firm screened clients ...

Morgan Stanley is being probed by the Financial Industry Regulatory Authority over its vetting of clients for the risk of ...

Morgan Stanley is under investigation by the Financial Industry Regulatory Authority (FINRA) over potential lapses in anti-money-laundering (AML) controls related to its wealthy clientele, according ...

The inquiry is examining the firm's client risk assessments and related practices from October 2021 to September 2024.

Morgan Stanley’s wealth management business is facing fresh scrutiny over its anti-money-laundering policies, The Wall Street ...

The regulator fined Morgan Stanley $3.25 million, and ordered that it pay clients $9.78 million in restitution. Morgan Stanley consented to FINRA's findings but did not admit or deny the charges.

According to Finra, Morgan Stanley's policy requires that financial advisers seeking to recommend more than 60,000 shares of a security that's not part of the S&P 500 stock index, not covered by ...

Morgan Stanley's UIT training for registered reps also fell short, FINRA added. The firm's failings stretched over a three-year period, from January 2012 through June 2015, according to FINRA.

A former Morgan Stanley broker will pay $5,000 in fines after FINRA found he bought and sold customers’ securities without their consent, a practice the firm didn’t allow at the time.

In addition to this, Morgan Stanley violated Section 15 (c) (3) of the Securities Exchange Act, Rule 15c3-2 (d) (2) and FINRA Rule 2010 for failing to take prompt steps to take control of 247 ...