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Morgan Stanley pays $7.5 million SEC fine to resolve alleged customer violations

By Mark Iandolo | Dec 28, 2016

WASHINGTON (Legal Newsline) — The Securities and Exchange Commission (SEC) announced Dec. 20 that Morgan Stanley & Co. LLC has agreed to pay $7.5 million after allegations it used trades involving customer cash to lower the firm’s borrowing costs in violation of the SEC’s Customer Protection Rule.  

Morgan Stanley settles after allegations it failed to protect customer information

By Mark Iandolo | Jun 16, 2016

NEW YORK (Legal Newsline) – Morgan Stanley Smith Barney LLC will pay $1 million to settle allegations it failed to protect customer information, the Securities and Exchange Commission (SEC) announced.

Investor’s class action seeks restitution for alleged IPO fraud

By Robert Hadley | Jun 9, 2016

SAN FRANCISCO (Legal Newsline) – A California man is suing the consumer electronics firm Fitbit, alleging it defrauded investors in its initial public offering.

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