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…
Tag: supervision
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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