Advertisement

FINANCIAL SERVICES

Share via

* Morgan Stanley was fined $2.2 million and censured for submitting information about its brokers late to regulators more than 1,800 times between January 2002 and March of this year. Morgan Stanley didn’t make timely filings of information about customer complaints and disciplinary actions concerning its brokers, according to the NASD, the brokerage industry’s self-regulatory group.

Advertisement