NASD fines Morgan Stanley $100,000
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WASHINGTON -- The National Association of Securities Dealers censured Morgan Stanley and fined the securities firm $100,000 for failing to disclose to municipal bond buyers that the bonds could be called before their maturity dates, which could result in
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Deutsche Bank Securities Inc. and  Thomas Weisel Partners agreed to pay a combined $100 million to  settle charges involving conflicts of interest between research  and investment banking, U.S. regulators said on Thursday.
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Securities regulators sued two former  financial advisers at Morgan Stanley  on Friday for  defrauding at least 50 mutual fund companies and their  shareholders.
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NASD has accused an affiliate of American Funds of directing $100 million in trading commissions to the brokerage firms that were top sellers of its funds.
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The brokerage watchdog NASD on Tuesday censured Citigroup Inc. (CN: Quote, Profile, Research) and fined the financial services company $275,000 for violating rules regarding sales of risky investments.
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Morgan Stanley , the world's biggest securities firm by market value, is offering its top-paid traders and bankers millions of dollars of incentives to avoid defections to rival banks and to attract new hires.
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Financial services regulator NASD said  on Monday it has charged H&R Block Financial Advisors Inc.  HRB.N with fraud related to the sale of Enron Corp.  ENRNQ.PK bonds immediately preceding Enron's bankruptcy in  2001.
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NEW YORK: The NASD yesterday said it censured and fined 29 securities firms a total of $US9.22 ($NZ13.04) million for failing to properly disclose required information about their brokers more than 8300 times.
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Investment bank Morgan Stanley gets a record $19m fine from the New York Stock Exchange for a number of regulatory and supervisory lapses.
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Morgan Stanley  will pay $12.5 million to resolve charges that it failed to produce e-mails in arbitration cases and falsely claimed the e-mails were lost in the September 11, 2001, attacks.
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The NASD on Monday said it fined  Citigroup Global Markets Inc. $250,000 for distributing  inappropriate hedge fund sales literature, in the regulator's  largest fine involving hedge fund sales by broker-dealers.
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Morgan Stanley  agreed to pay $12.5 million to resolve regulatory charges that it failed to provide arbitration plaintiffs with e-mails it said were destroyed in the September 11, 2001, attacks, when in fact it had saved the e-mails on backup files.
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Two big US brokers have agreed to pay fines of USD100m to the market&#39;s watchdog for hyping stock. They have agreed the fines with the Securities and Exchange Commission (SEC) for &quot;inappropriate analysis of stocks&quot;.
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Securities regulators on Tuesday accused big investment firm Morgan Stanley Inc. of repeatedly withholding documents sought in connection with customer complaints and falsely claiming that millions of e-mails it had were lost in the Sept. 11, 2001 terror attack on the World Trade Center.
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IBM has filed a 100-page motion with a US district court in an attempt to have some of the claims made against it by The SCO Group dismissed.
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New Yorkers who blithely cross the  street listening to an iPod or talking on a cell phone could  soon face a $100 fine.
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The NASD on Monday said it fined Citigroup Global Markets Inc. &#36;250,000 for distributing inappropriate hedge fund sales literature, in the regulator's largest fine involving hedge fund sales by broker-dealers.