Categories
- Administrative law (3,493)
- Admiralty-Maritime Law (2,514)
- Advertising Law (2,069)
- Antitrust – Competition law (735)
- Aviation Law (959)
- Banking and Finance law (1,951)
- Bankruptcy Law (1,397)
- Business law (2,076)
- Constitutional Law (688)
- Contract Law (44)
- Copyright Law (1,415)
- Corporate Law (1,455)
- Criminal Law (1,149)
- Divorce Law (2,187)
- Elder Law (117)
- Employment and Labour Law (1,216)
- Environmental Law (653)
- Estate Planning (691)
- Family Law (1,070)
- General Legal News (225)
- Health Law (1,261)
- Immigration law (883)
- Injury & Accident Law (1,390)
- Insurance (664)
- Intellectual Property (1,357)
- International Law (569)
- Judiciary (562)
- Law Librarians (1,800)
- Law Professors (1,118)
- Law Students (993)
- Legal Ethics (306)
- Legal Marketing (1,086)
- Legal Theory (707)
- Medical malpractice law (1,204)
- Products Liability (847)
- Real Estate & Property Law (938)
- Securities Law (732)
- Seogpst (2)
- Tax Law (1,059)
- Technology & Cyberlaw (1,526)
- World (729)
- Germany (3)
- Writings and Citations (4)
Tag Archives: $3.6
Morgan Stanley Pays $3.6 Million Penalty In Connection to SEC Charges
Publicly available records provided by the Securities and Exchange Commission (SEC) and accessed on July 3, 2018 indicate that Morgan Stanley Smith Barney in connection to allegations it failed to protect against the misuse or misappropriation of client funds by … Continue reading
Posted in Securities Law
Tagged $3.6, Charges, Connection, million, Morgan, pays, penalty, Stanley
Leave a comment