CFTC Fines Morgan Stanley Smith Barney


The U.S. Commodity Futures Trading Commission (CFTC) has issued an Order filing and settling charges that Morgan Stanley Smith Barney violated CFTC regulation 166.3 by failing to diligently supervise its employees’ handling of customer accounts.

Smith Barney RIP

Wall Street Sign

Morgan Stanley has officially laid to rest Smith Barney, the 75-year-old iconic Wall Street brokerage brand.

Morgan Stanley CEO Working to Speed Up Smith Barney Purchase

Charlie Breaks It

Morgan Stanley CEO James Gorman is making a full-court press with regulators to expedite the purchase of the remaining piece of the Smith Barney brokerage firm from Citigroup, moving up the buyout date as much as two years ahead of schedule, the FOX Business Network has learned.