SEC Charges Morgan Stanley Smith Barney LLC

Order Instituting Aministrative and Cease-And- Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) of the Securities Exchange Act of 1934, and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

from SEC.gov Updates: Administrative Proceedings https://ift.tt/2JXvYe2
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