FINRA Sanctions Morgan Stanley in Fines and Restitution
United States
- 09/25/2017
- Fine
- 3,250,000.00
- Financial Industry Regulatory Authority
Detail
Fail to supervise its representatives' short term trades of unit investments trusts (UITs)
Source Link
https://www.finra.org/newsroom/2017/finra-sanctions-morgan-stanley-13-million-failing-related-uits