LAW OFFICES OF DAVID HARRISON, P.C. ANNOUNCE INVESTIGATION INTO THE UNSTABILITY OF MORGAN STANLEY’S TRADING PLATFORM
- posted: Mar. 25, 2020
Morgan Stanley Wealth Management’s technology systems crumpled today, preventing brokers and clients from viewing account information and placing orders. “[O]rder entry and order status continues to experience issues and may be Read More
The Financial Industry Regulatory Authority (“FINRA”) proposed to increase the fees firms, and stockbrokers pay when seeking to expunge customer complaints from brokers’ regulatory records on BrokerCheck.
- posted: Feb. 10, 2020
FINRA has proposed to the Securities and Exchange Commission to amend its arbitration codes mandating stockbrokers or their firms to pay a minimum of $9,475 in filing and processing fees Read More