Morgan Stanley was fined $2 million by a Massachusetts regulator over stock sales by a First Republic executive in the months leading up to the California lender’s collapse last year.

Massachusetts’ securities regulator fined Morgan Stanley $2 million for allegedly failing to properly monitor insider securities sales by a former CEO of First Republic Bank in the months prior ...

In addition to the $2 million fine, Morgan Stanley has been ordered to conduct an internal review of its policies and to provide training to its broker-dealers in Massachusetts on the prevention ...

Morgan Stanley Is Fined Over First Republic Insider Sales. ... Morgan Stanley agreed to pay $2 million to settle the investigation by the Massachusetts securities regulator.

Morgan Stanley agreed to pay $2 million to settle the investigation by the Massachusetts securities regulator. The bank neither admitted nor denied wrongdoing.

Morgan Stanley Is Fined for First Republic C.E.O.’s Stock Sales James Herbert was permitted to sell nearly $7 million of shares before First Republic Bank’s demise last year, Massachusetts ...

Morgan Stanley was fined $2 million by a Massachusetts regulator over its failure to monitor certain stock sales by a former First Republic CEO during the months leading up to the collapse of the ...

Morgan Stanley expects to pay a $200 million fine related to a broad U.S. investigation into the use of unapproved personal devices, according to its earnings statement. That amount is based on ...

Morgan Stanley has been fined $2 million in Massachusetts for its role in the sale of First Republic Bank stock in the lead-up to its collapse in 2023. According to a statement from the office of ...

The SEC said that for five years, Morgan Stanley Smith Barney failed to protect personal identifying information for 15 million customers. The firm agreed to pay the fine without admitting or ...

Massachusetts securities regulators have fined Morgan Stanley $2 million for failing to properly monitor trades by a First Republic Bank insider before the bank failed, according to a spokesperson ...

Massachusetts’ securities regulator fined Morgan Stanley $2 million for allegedly failing to properly monitor insider securities sales by a former CEO of First Republic Bank in the months prior ...