Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Wednesday, February 22, 2017

Morgan Stanley Settles Charges Related to ETF Investments


On February 14, 2017, the SEC announced that Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle charges related to single inverse ETF investments it recommended to advisory clients. The SEC’s ...
https://www.securitieslawyer101.com/2017/morgan-stanley-settles-charges-related-etf-investments/

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