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Morgan Stanley fights $170m claim

Morgan Stanley HQ

The widow of the Home Shopping Network's co-founder is seeking more than $170m from Morgan Stanley in a case alleging, among other things, that the firm made excessive securities trades to boost commissions, according to a disclosure.



Blowing Whistle

Compliance whistleblower awarded in excess of $1m

The Securities and Exchange Commission has announced an award of more than a million dollars to a compliance professional who provided information that assisted the SEC in an enforcement action against the whistleblower’s company.