SEC
Whistleblower
Attorneys

June 29, 2018

Morgan Stanley Smith Barney LLC

Financial Fraud

SANCTION AMOUNT: $3600000

Defendants: Morgan Stanley Smith Barney, LLC

MSSB charged with failure to detect/prevent one of its advisory representatives from misusing or misappropriating client funds. The firm consented to this sanction without admitting or denying the charge.

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