Sunday, May 17, 2015

Morgan Stanley Fined $2 Million for Short Sale & Short Interest Reporting

Going Public LawyerOn May 3, 2015, The Financial Industry Regulatory Authority (FINRA) announced it has fined Morgan Stanley & Co. $2 million for short sale and short interest reporting and rule violations that spanned a period of more than six years, and for failing to implement a supervisory system reasonably designed to detect and prevent such violations. Thomas Gira, Executive Vice President, FINRA... Read MoreGoing Public Lawyer

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