Category:

Morgan Stanley’s E*Trade to Pay $350K Fine over Supervisory Lapses

January 13, 2022 by Miriam Rozen | | | | Share This The Financial Industry Regulatory Authority censured and imposed a $350,000 fine on E*Trade Securities, the self-directed trading platform owned by Morgan Stanley, for failing to properly monitor for potentially manipulative trading. The industry’s self-regulator alleged that from February 2016 until this past November […]

Continue Reading
Posted On :
Category:

J.P. Morgan Targets Another Defecting Bank-Based Advisor with TRO

January 12, 2022 by Miriam Rozen | | | | Share This JPMorgan Chase’s brokerage unit has asked a federal court in Louisville, Kentucky to issue a temporary restraining order barring one of its former branch-based advisors from soliciting its clients, according to a complaint filed January 10. In its lawsuit, J.P. Morgan Securities, the […]

Continue Reading
Posted On :