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FINRA Fines Morgan Stanley $1m Over Corporate & Muni Bonds

Morgan Stanley Logo

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC $1m and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal bond transactions, and related supervision violations.



Ronnie Sweating Large

Hedge funders build new recruiting model

When Brett Adcock and Adam Goldstein were analysts at hedge fund Cedar Hill Capital covering the staffing and headhunting industry, they noticed something missing: technology.