Sunday, June 12, 2016

SEC ANNOUNCES MORGAN STANLEY TO PAY $1 MILLION PENALTY TO SETTLE CHARGES OF FAILING TO SAFEGUARD CUSTOMER INFORMATION

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC: Morgan Stanley Failed to Safeguard Customer Data FOR IMMEDIATE RELEASE 2016-112 ...
Friday, June 10, 2016

SEC ANNOUNCES $17 MILLION WHISTLEBLOWER AWARD

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Washington D.C., June 9, 2016 — The Securities and Exchange Commission today announced a ...
Sunday, June 5, 2016

WALL STREET FIRM CHARGED WITH NOT MONITORING SUSPICIOUS ACTIVITY

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FROM:  U.S. JUSTICE DEPARTMENT  Brokerage Firm Charged With Anti-Money Laundering Failures FOR IMMEDIATE RELEASE 2016-102 Washingto...
Monday, April 11, 2016

GOLDMAN SACHS TO PAY $5 BILLION SETTLEMENT RELATED TO MORTGAGE BUSINESS

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FROM:  U.S. JUSTICE DEPARTMENT   Monday, April 11, 2016 Goldman Sachs Agrees to Pay More than $5 Billion in Connection with Its Sale of...
Sunday, March 27, 2016

MAN WHO RAN OFFSHORE BROKERAGE SENTENCED FOR ROLE IN INTERNATIONAL STOCK FRAUD

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FROM:  U.S. JUSTICE DEPARTMENT  Friday, March 18, 2016 Former Head of Offshore Brokerage Sentenced to 18 Years for Conspiracy to Commit...
Thursday, February 11, 2016

MORGAN STANLEY RESOLVES CLAIMS RELATED TO IT'S RESIDENTIAL BACKED SECURITIES SALES

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FROM:  U.S. JUSTICE DEPARTMENT  Thursday, February 11, 2016 Morgan Stanley Agrees to Pay $2.6 Billion Penalty in Connection with Its Sa...