California Securities Fraud Attorney Call Today 800-699-1881
California Securities Fraud Lawyer Firm Overview Attorney Profiles Recoveries Obtained Frequently Asked Questions Testimonials Contact Us
information center
Attorney Advertising Disclaimer
Securities
Broker Misrepresentation
Brokerage Firms Sued
FINRA
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Misconduct
Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Products
Frequently Asked Questions
Attorney Referrals
Video Center
securities fraud blog
legal blog Click here for a free case evaluation. Read our Articles on Securities Related Issues here. have a question resources
contact us
Name:
Email:
Phone:
Are you a new client?
Message:
10 Avvo avvo badge
If you need help recovering your losses contact us today. View our complete list of brokerage firms and banks we've sued.

Discipline: Some Morgan Stanley Structured Product Purchases Failed to Comply with Internal Guidelines

The Financial Industry Regulatory Authority (FINRA) has found Morgan Stanley & Co. LLC in violation of several industry rules, findings which the Firm has accepted for the purposes of proposing a settlement of alleged rule violations and ensuring FINRA will not bring any future actions against Morgan Stanley for the following violations.

Between September 2006 and July 2007, Morgan Stanley was found not to have had a proper structure in place to supervise structured product sales. Morgan Stanley additionally made unsuitable recommendations of structured product purchases to their retail customers between September 2006 and August 2008, which has resulted in censure and a fine of $600,000.

Morgan Stanley had previously been censured and fined $100,000 by FINRA on April 26, 2011 for failing to establish procedures and a supervisory system to ensure appropriate sales charge discounts for investments.

If you suspect you were involved in an unsuitable recommendation of structured product purchase in your dealing with broker-dealer Morgan Stanley, please call The Law Offices of Jonathan W. Evans & Associates for an investigation and consultation.

News: Morgan Stanley Accepts Findings of FINRA Rule Violations

Categories: Securities Fraud
accolades
The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
Website: