Search Results for: Morgan Stanley

Goldman, Morgan Stanley win back hedge fund trading business

October 7th, 2015 (0)
Goldman Sachs and Morgan Stanley are winning back the trading business of hedge fund clients that they lost to European rivals during the financial crisis, as new capital rules spur banks like Deutsche Bank to scale down their businesses. ...

CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil Monetary Penalty

August 7th, 2015 (0)
CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil Monetary Penalty for Violations of Customer Protection Rule for Cleared Swaps and Related Supervision Failures Order Finds that the Firm Failed to Maintain Sufficient U.S. Dollars in ...

FINRA Fines Morgan Stanley Smith Barney and Scottrade a Total of $950,000

June 23rd, 2015 (0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley Smith Barney, LLC (Morgan Stanley) $650,000 and Scottrade, Inc. $300,000 for failing to implement reasonable supervisory systems to monitor the transmittal of customer funds to ...

SEC Penalizes Morgan Stanley for Violating Market Access Rule

December 11th, 2014 (0)
The Securities and Exchange Commission today penalized Morgan Stanley & Co. LLC for violating the market access rule when it failed to uphold credit limits for a customer firm with a rogue trader who engaged in fraudulent trading of ...

Australia Needs Stimulus to Avoid Recession, Morgan Stanley Says

November 5th, 2014 (0)
Australia could face its first recession in almost 25 years unless authorities further stimulate the economy, Morgan Stanley (MS:US) said. The nation’s economy will expand just 1.9 percent in 2015, with 1.5 percentage points of that coming from higher ...

Profit Surges at Morgan Stanley

July 17th, 2014 (0)
Morgan Stanley said on Thursday that its second-quarter earnings surged, driven largely by growth in the firm’s wealth management operations and by strong performances in investment banking and equity sales. Excluding certain charges relating to its debt and a ...

Offshore Yuan Bets Losing $3.5 Billion, Morgan Stanley Estimates

March 20th, 2014 (0)
More than $3.5 billion has been wiped off the value of offshore yuan structured products, Morgan Stanley estimates, as China’s slowing economy and mounting credit concerns weaken the currency. Losses on Target Redemption Forwards were probably in the region ...

Morgan Stanley puts a digital spin on advisor training

June 22nd, 2018 (0)
Morgan Stanley’s digital transformation of its wealth management arm is extending beyond an evolving set of technology tools to its advisor training program. A third of Morgan’s trainees are being inducted into a digital-first approach with the intention that ...

Morgan Stanley to pay a $350,000 penalty

November 3rd, 2017 (0)
CFTC Orders Morgan Stanley and Co. Incorporated to Pay $350,000 Penalty for Omitting Futures and Options Data from Part 17 Large Trader Reports The Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Morgan Stanley ...

Morgan Stanley reported second quarter earnings well above expectations

July 20th, 2017 (0)
Morgan Stanley shares jump after earnings, revenue easily beat the Street Morgan Stanley reported second quarter earnings Wednesday that soundly topped expectations, helped by an increase in stock trading revenues and profits from its wealth management business. Earnings per ...
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