ERC721

Morgan Stanley agreed to pay $5 million in settlement of an Administrative Order alleging multiple violations of securities regulations, including failing to to maintain its records correctly and failing to supervise the activities of its agents and office operations to ensure they were correctly trained in and following securities regulations. For more info visit https://www.finra.org/media-center/news-releases/2014/finra-fines-morgan-stanley-smith-barney-llc-5000000-supervisory

Name

1355

Owner

0xD4D2B38106E40f2693B617314Ba5f406985864eb

ID#1355

Rarity

X-LO:95%

Parent Company

Morgan Stanley

EX:5%

Company

Smith Barney

EX:MAX

Violation

Defrauding Investors

HI:19%

Penalty

$5,000,000.00

EX:3%

Year

2014