Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Saturday, May 16, 2015

Morgan Stanley Fined $2 Million for Short Sale & Short Interest Reporting


On May 3, 2015, The Financial Industry Regulatory Authority (FINRA) announced it has fined Morgan Stanley & Co. LLC $2 million for short interest reporting and short sale rule violations that spanned a period of more than six years, and for fai...
https://www.securitieslawyer101.com/2015/morgan-stanley-short-sale-short-interest-violations/

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