SEC hits Morgan Stanley with $15 million penalty - Westfair Communications

Retrieved on: 2024-12-12 16:16:33

Tags for this article:

Primary dealers

Subprime mortgage crisis

House of Morgan

Corporate crime

Mitsubishi UFJ Financial Group

Morgan Stanley

U.S. Securities and Exchange Commission

Wealth management

Mutual fund scandal

Morgan Stanley Smith Barney

Click the tags to see associated articles and topics

SEC hits Morgan Stanley with $15 million penalty - Westfair Communications. View article details on hiswai:

Summary

The article discusses a $15 million penalty by the SEC against Morgan Stanley Smith Barney for failing to supervise employees who committed fraud, aligning with the tag 'mutual fund scandal' and emphasizing regulatory oversight in wealth management.

Article found on: westfaironline.com

View Original Article