The Financial Industry Regulatory Authority announce that Morgan Stanley Smith Barney has agreed to pay more than $1.4 million in restitution to clients who were charged excess fees for investing in 529 plans.

FINRA - Financial Industry Regulatory Authority

Source

Published on Dec. 30th, 2020 Published on Dec. 30th, 2020

Scenario: Conduct / Client Overcharging

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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.