Morgan Stanley & Co.

• SIFMA Elects New Officers to Municipal Securities Division

  By Melanie Waddell, AdvisorOne  |  November 2, 2012

  Stratford Shields of Morgan Stanley & Co. will serve as division chair, and Frank Fairman of Piper Jaffray & Co. and David Stephens of Bank of America Merrill Lynch & Co. will serve as vice chairs.

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  FINRA Sanctions Citigroup, Wells Fargo, Morgan Stanley and UBS for ETF Violations

  By Melanie Waddell, AdvisorOne  |  May 1, 2012

  The Financial Industry Regulatory Authority (FINRA) announced Tuesday that it has sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co.; UBS Financial Services; and Wells Fargo Advisors, a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a...

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  FINRA Slaps Morgan Stanley With $1 Million Fine

  By Marlene Y. Satter, AdvisorOne  |  November 10, 2011

  FINRA also ordered the firm to pay restitution and interest of $371,000 to customers for excessive markups and markdowns charged to customers on corporate and municipal bond transactions.

• FINRA Settles with Morgan Stanley

  By Staff Writer  |  September 27, 2007

  Morgan Stanley & Co. will pay the Financial Industry Regulatory authority (FINRA) a total of $12.5 million on behalf of its "former affiliate" Morgan Stanley Dean Witter, (MSDW)according to a FINRA statement.

• Morgan Stanley's Q1 Margins Are Up; New Designations Win Approval

  By Janet Levaux, AdvisorOne  |  May 1, 2007

  Change continues to be the name of the game at Morgan Stanley. On April 1, some 10 years after Morgan Stanley merged with Dean Witter, Morgan...