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SEC Looking to Fine Morgan Stanley Some $10 Million for Alleged Document Violations
Regulators are looking to fine Morgan Stanley about $10 million for allegedly violating record-keeping rules by failing to preserve e-mail messages, a person with direct knowledge of the investigation said Tuesday. That person confirmed a published report saying the e-mail in question may have been relevant to several big cases that the SEC has brought against Morgan Stanley. That civil penalty would be among the biggest fines ever levied on a brokerage firm for failing to retain documents.
August 31, 2005 at 12:00 AM
1 minute read
By Marcy Gordon |
Updated on August 31, 2005
The original version of this story was published on Law.Com
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