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UNITED STATES SECURITIES AND EXCHANGE COMMISSION: SEC Charges Morgan Stanley in Connection With Failure to Detect or Prevent Misappropriation of Client Funds

By Press release submission | Jul 7, 2018

The Securities and Exchange Commission announced that Morgan Stanley Smith Barney (MSSB) has agreed to pay a $3.6 million penalty and to accept certain undertakings for its failure to protect against its personnel misusing or misappropriating funds from client accounts.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION: Wells Fargo Advisors Settles SEC Charges for Improper Sales of Complex Financial Products

By Press release submission | Jul 7, 2018

The Securities and Exchange Commission today announced that Wells Fargo Advisors LLC agreed to settle charges of misconduct in the sale of financial products known as market-linked investments, or MLIs, to retail investors.

SEC reaches $42 million settlement with Merrill Lynch for allegedly misleading customers

By Marian Johns | Jun 26, 2018

WASHINGTON, D.C. — The Securities and Exchange Commission (SEC) has reached a $42 million settlement charges against Merrill Lynch, Pierce, Fenner & Smith for allegedly misleading customers about how the company's trades were executed.

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