Tag: supervision

This Week In Securities Litigation (Week ending March 30, 2018)

Cases brought by the Commission this week in include one requiring admissions of fact and that the firm violated the securities laws as a condition of settlement, a case naming as Defendants the Pastor of one of the largest Methodist

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FINRA Fines Morgan Stanley For Supervision Failures

The Commission has brought a series of enforcement actions against investment advisers centered on fees. In a number of instances the issue was whether the clients were put into programs where the fees charged were the most advantageous for the

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