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Morgan Stanley

Most Recent Posts in Morgan Stanley

Dec 28, 2024 SEC Fines Morgan Stanley $15 Million for Inadequate Supervision Over Failure to Safeguard Customer Funds
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Sep 9, 2024 Morgan Stanley Fined $2 Million Over Improper First Republic Trades
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Feb 22, 2024 Morgan Stanley Broker Stole $3.5 Million from Clients, According to SEC, Arrested for Elder Exploitation
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Nov 27, 2023 Stephen Takeda Barred During Customer Loans Investigation
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Feb 24, 2023 Beverly Hills Broker Antoine Souma Barred After Failing to Cooperate with FINRA Investigation
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May 13, 2022 Ex-Morgan Stanley Broker Nikolay Zotenko Cited for Improperly Marketing Private Placements
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Feb 10, 2022 Morgan Stanley Broker Darryl Cohen, Broker to Pro Athletes, Barred After Millions in Claims
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Nov 23, 2021 JP Morgan Advisors' Antoine Souma Suspended for Incorrect and Misleading Reports to Customer
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Oct 20, 2021 Morgan Stanley of Pasadena's Henry Chang Accused of Soliciting Outside Investments
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