Morgan Stanley agreed to pay $949,574 in fines and customer restitution for allegedly failing to supervise a broker who excessively traded corporate bonds and preferred securities for five years.

FINRA - Financial Industry Regulatory Authority

Source

Published on Aug. 12th, 2020 Published on Aug. 12th, 2020

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MSTAR News

Sept. 20th, 2021

ORX Forum

ELSEWARE/MSTAR will be speaking on climate stress on operational risk at the ORX forum on September 23. In particular, we will be presenting the work we have done on this topic with the American Bankers Association and a group of banks.