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FINRA has censured and fined the brokerage over charges that it submitted inaccurate blue sheets data.
FINRA has censured the Morgan Stanley Smith Barney LLC brokerage for “at least” 869 allegedly inaccurate blue sheets, submitted to the U.S. Securities and Exchange Commission and FINRA from February 2014 to April 2017. The financial services industry’s self-regulatory authority also has fined the brokerage’s investment banking parent Morgan Stanley $875,000. FINRA says it discovered...
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