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

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

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

The Securities and Exchange Commission has ordered Morgan Stanley to pay $15 million for failures that allowed four of its ...

Morgan Stanley Smith Barney LLC has agreed to pay a $15 million penalty to settle Securities and Exchange Commission charges ...

The SEC said the wirehouse’s broker/dealer’s inadequate policies failed to detect hundreds of unauthorized transfers between ...

The financial services firm failed to detect “hundreds” of instances when former employees misappropriated client funds ...

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, ...

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

Four of the firm's dually registered advisor reps stole millions from clients over five years, the agency said.

According to charges filed by the Securities and Exchange Commission and the Justice Department, a trio of Nigerian nationals ...