Morgan Stanley’s wealth management business will pay $3.6 million after one of its advisors stole $7 million from client accounts.
Tag: Securities and Exchange Commission
David Humphrey fined following misrepresentation of personal derivatives trading activity.
Jay Clayton officially sworn in as the 32nd chairman of the SEC.
The SEC found Morgan Stanley failed to inform investors of risks related to the trading of inverse ETFs.
Trading ‘Cartel’ charged with rigging FX spot market face up to 10 years in prison.
Donald Trump has nominated Jay Clayton as chair at the SEC.
New Jersey based traders charged after manipulating over 2,000 traded stocks.
Andrew Ceresney announces departure from US regulator by the end of this year.