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.

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 ...

Massachusetts’ securities regulator accused Morgan Stanley of failing to properly supervise sales of First Republic stock worth $6.8 million by a former First Republic CEO.

Morgan Stanley failed to properly vet the former First Republic CEO, identified as "Customer One," who sold over $6.8 million in First Republic stock from February 2022 to March 2023 — just ...

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 wins a $7.4 million clawback from a former advisor who left in 2023 to go to First Republic. Robert Daly was part of a star team that left Morgan Stanley in 2023 to join First ...

Morgan Stanley: Tesla will produce 2 million vehicles in 2022 In a recent statement from Adams Jonas, a Morgan Stanley analyst, Tesla production this year may hit 2 million.

Morgan Stanley has slapped its own bankers with fines of more than $1 million as it looks to crack down on the misuse of WhatsApp and other apps to conduct official business, according to a report … ...

Morgan Stanley fined some of its own bankers more than $1 million each for conducting business on WhatsApp and other messaging platforms, the latest fallout from an industrywide probe that saw U.S ...

The Financial Industry Regulatory Authority has censured and fined Morgan Stanley $1.6 million for failing to close out 239 inter-dealer transactions within twenty days, as well as for failing to ...

Securities regulators are fining Morgan Stanley $35 million after its wealth management division failed to protect the personal information for 15 million customers.