Morgan Stanley fined by NASD for "extensive violations"

09/6/2006 | InvestmentNews (free registration) · MarketWatch

The NASD fined Morgan Stanley $2.9 million for violating a slew of securities laws during a 10-year period. The regulator cited two units of the investment bank for "extensive violations" related to reporting regulations, execution rules, short sales procedures and other rules. Morgan Stanley neither admitted nor denied the charges.

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InvestmentNews (free registration) · MarketWatch

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