Tags Penalty

Tag: penalty

Morgan Stanley hit with $35m fine for mass information exposure

The Securities and Exchange Commission (SEC) has revealed Morgan Stanley has agreed to pay a $35m fine for exposing the personal information of millions of customers.

SEC charges numerous firms for identity theft prevention deficiencies

The SEC has separately charged JP Morgan Securities, UBS Financial Services and TradeStation for deficiencies relating to the prevention of customer identity theft.

UBS issued $500,000 fine from CFTC

The Commodity Futures Trading Commission (CFTC) has issued a $500,000 fine to UBS for alleged violations of audio recording regulations.

US SEC issues $5m penalty to Morgan Stanley for misleading clients

The US’ Securities and Exchange Commission (SEC) has issued a $5m penalty to Morgan Stanley Smith Barney after it providing misleading information to clients in its retail wrap fees programmes.

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