Author: LPclient

Morgan Stanley settled with FINRA and neither admitted nor denied the charges, but consented to the entry of FINRA’s findings that Morgan Stanley had supervisory failures concerning the solicitations of 83 Initial Public Offerings (IPOs) of stock, including Facebook and Yelp, from February 16, 2012, to May 1, 2013. http://www.finra.org/Newsroom/NewsReleases/2014/P498150

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