FINRA Fines Morgan Stanley $1.6M In Muni Securities Case

By Katryna Perera (February 15, 2024, 10:12 PM EST) -- Morgan Stanley Smith Barney LLC has been fined $1.6 million by the Financial Industry Regulatory Authority for alleged compliance and supervisory failures related to municipal securities transactions, in what the self-regulatory organization described as its first disciplinary case related to certain close-out requirements....

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