WALL STREET FRAUDSTERS

This is a look at Wall Street fraudsters via excerpts from various U.S. government web sites such as the SEC, FDIC, DOJ, FBI and CFTC.

Showing posts with label CUSTOMER PROTECTION RULE. Show all posts
Showing posts with label CUSTOMER PROTECTION RULE. Show all posts
Sunday, August 9, 2015

MORGAN STANLEY TO PAY $300,000 FINE FOR VIOLATING CUSTOMER PROTECTION RULE AND RELATED SUPERVISION FAILURES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  August 6, 2015 CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil Monetar...
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