Tag: supervision

This Week In Securities Litigation (Week ending Feb. 17, 2017)

Morgan Stanley settled another case with the Commission this week. This time its brokerage unit resolved an action centered on the improper sales of ETFs, admitting the facts in the Order. The Commission also brought another suspicious trading case last

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This Week In Securities Litigation (Two Weeks ending Sept. 9, 2016)

In the two weeks spanning the Labor Day weekend, the Commission continued bring cases arising from its inspection program. Two new actions alleging inadequate procedures regarding the disclosure of additional trading away fees incurred by customers in wrap fee programs

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