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FINRA Slaps Morgan Stanley with $1 Million Fine

FINRA has fined Morgan Stanley Smith Barney $1 million and ordered another $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal bond transactions as well as other supervision violations.

  • Posted on   11/28/11 at 02:16:13 PM   by Janell  | 
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