Morgan Stanley will pay a $1.6 million fine levied by the Financial Industry Regulatory Authority (FINRA) for failing to close out certain municipal securities transactions over a five-year period.

Intelligence, benchmarking, and certification for risk and compliance leaders, from the institution setting the standard since 1922.
Morgan Stanley will pay a $1.6 million fine levied by the Financial Industry Regulatory Authority (FINRA) for failing to close out certain municipal securities transactions over a five-year period.
Aaron Nicodemus is the Editor-in-Chief of Compliance Week. He previously worked as a reporter for Bloomberg Law and as business editor at the Telegram & Gazette in Worcester, Mass. Email: aaron.nicodemus@complianceweek.com LinkedIn:... More by Aaron Nicodemus
We'll send a verification code to %EMAIL%.