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 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 ...

Britain’s financial regulator fines Morgan Stanley 1.4 million pounds ($2.1 million) for failing to prevent one of its traders from deliberately over-valuing assets.

WASHINGTON (MarketWatch) -- Two Morgan Stanley units were fined $2.9 million for "widespread" violations of NASD rules from 1999 to 2006, the private regulator said Tuesday. The NASD said Morgan ...

Morgan Stanley fined $2 million for failing to monitor First Republic executive's stock sales. James Herbert II, First Republic's executive chairman, sold $6.8 million in stock before the bank's ...

Morgan Stanley was fined €20 million ($22 million) by French regulatory authorities over allegations that its London bond desk used "pump and dump" trades to manipulate bond prices.

Morgan Stanley (MS) was fined $2 million by the Financial Industry Regulatory Authority over claims that the bank failed to completely report short positions in certain stocks. Morgan Stanley didn ...

In the months before First Republic failed last year, its executive chairman sold more than $6.8 million worth of stock through Morgan Stanley. The bank has agreed to pay $2 million to settle an ...