MUFG Faces Penalties for ‘Repeatedly' Misusing Client Data [Yahoo! Finance Canada]
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Morgan Stanley (MS)
Last morgan stanley earnings: 4/16 07:15 am
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Source: Yahoo! Finance Canada
Stanley should be penalized after finding they broke firewalls between business units that protect client data. Most Read from Bloomberg The Securities and Exchange Surveillance Commission recommended unspecified administrative action against MUFG Bank Ltd., Morgan Stanley MUFG Securities Co. and Mitsubishi UFJ Morgan Stanley Securities Co., according to a statement on Friday. ADVERTISEMENT The “three firms repeatedly exchanged non-public client information knowing that the clients had refused to share their information with other group firms, and some of the information contained material information that would impact investment decisions,” the agency said in a statement. The probe is the latest financial scandal to surface in Japan and is a setback to the nation's largest lender after clients last year lost more than $700 million on Credit Suisse's riskiest bonds purchased through its brokerage venture with Morgan Stanley. In 2022, rival Sumitomo Mitsui Financial Group Inc
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MS
Earnings
- 4/16/24 - Beat
MS
Sec Filings
- 6/20/24 - Form FWP
- 6/20/24 - Form FWP
- 6/20/24 - Form 424B2
- MS's page on the SEC website