ERC721

The Financial Industry Regulatory Authority fined Morgan Stanley & Co. Inc. And Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal bond transactions, and related supervision violations. For more info visit https://www.finra.org/media-center/news-releases/2011/finra-fines-morgan-stanley-1-million-and-orders-restitution-371000

Name

1271

Owner

0xB23a91638BF4E9Ba88AcB1BeA4F81a569a1fcd4c

ID#1271

Rarity

HI:16%

Parent Company

Morgan Stanley

EX:5%

Company

Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$1,371,000.00

EX:MAX

Year

2011