The U.S. Financial Industry Regulatory Authority (FINRA) is investigating Morgan Stanley over how the firm screened clients ...

Morgan Stanley is under investigation by the Financial Industry Regulatory Authority (FINRA) over potential lapses in ...

Morgan Stanley is being probed by the Financial Industry Regulatory Authority over its vetting of clients for the risk of ...

Morgan Stanley’s wealth management business is facing fresh scrutiny over its anti-money-laundering policies, The Wall Street ...

The inquiry is examining the firm's client risk assessments and related practices from October 2021 to September 2024.

Morgan Stanley, which neither admitted nor denied FINRA's findings, also failed to disclose time of execution and security specific URL links for roughly 35,000 fixed price, primary market ...

Citadel Securities bought the unit of Morgan Stanley that’s focused on electronic market-making for US equity options, a move that further cements the firm’s dominant role in the popular derivatives.

Morgan Stanley's profit beat Wall Street estimates in the second quarter as its traders cashed in on volatile markets, but ...

Morgan Stanley had gone to the Second Circuit Court of Appeals to fight a lower court's finding that its deferred compensation policies fall under federal retirement law.

Michael Frank Paesano, who was with Morgan Stanley in New York for five years starting in 2011, must pay $10.52 million, plus additional interest, after being fired in late 2016.

SYDNEY] Morgan Stanley is being probed by the Financial Industry Regulatory Authority (Finra) over its vetting of clients for ...