Victims want Morgan Stanley to answer for ex-financial advisor's Ponzi scheme
Victims filed arbitration claims against Morgan Stanley, alleging that it failed to reasonably supervise its employee.
Source: nbcconnecticut.com
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Victims want Morgan Stanley to answer for Ponzi scheme
Victims filed arbitration claims against Morgan Stanley, alleging that it failed to reasonably supervise its employee.
Source: cnbc.com
SEC pursues former Morgan Stanley vice president for fraud
The former advisor faces as many as 10 years in prison for stealing roughly $1.7 million from relatives' brokerage accounts to pay for trips, cruises and other personal expenses.
Source: financial-planning.com
Ex-financial advisors charged in $72 million criminal enterprise
A pair of veteran brokers and six other defendants face hundreds of felony counts in a long-developing state enforcement case out of Toledo, Ohio.
Source: financial-planning.com
Merrill's $9.5M SEC fine shows need for advisors to watch disclosures
The action comes as the SEC plans heightened scrutiny of advisor disclosures and activity, and serves as a reminder to stay on top of the basics.
Source: financial-planning.com