Morgan Stanley Says SEC Seeking Details on Advisory Account Cash Balances - U.S. News

(Reuters) -Morgan Stanley said on Monday it had received requests from the enforcement division of the U.S. securities regulator regarding advisory account cash balances swept to affiliate bank ... Read More

Morgan Stanley Says SEC Seeks Info On Cash Balance Sweeps

Morgan Stanley disclosed on Monday that the enforcement division of the US Securities and Exchange Commission had requested information about “advisory account cash balances swept to affiliate ... Read More

US SEC Ends Inquiry Into Morgan Stanley's Cash Sweep Program With No Enforcement Action - U.S. News & World Report

Track elected officials, research health conditions, and find news you can use in politics, business ... US SEC Ends Inquiry Into Morgan Stanley ... Stanley's cash sweep program for advisory ... Read More

Morgan Stanley latest to disclose SEC inquiries over 'cash sweeps' | American Banker

Morgan Stanley is among a handful of firms being sued in federal court over allegations that it has failed to ensure it was obtaining adequate returns on cash investors hold in advisory and brokerage ... Read More

Regulatory scrutiny of 'cash sweeps' extends to Morgan Stanley

On Monday, Morgan Stanley disclosed in a quarterly report that it has also been responding since April "to requests for information from the ... SEC regarding advisory account cash balances swept ... Read More

SEC Looking Into Morgan Stanley’s Cash-Sweep Program - MSN

Morgan Stanley’s disclosure of an SEC information request is the latest sign of mounting attention to how wealth management firms handle clients’ uninvested cash. Read More

Morgan Stanley Says SEC Closed Cash-Sweep Investigation - MSN

Morgan Stanley said the Securities and Exchange Commission’s enforcement division closed its investigation into the company’s cash sweep practices and doesn’t intend to recommend an ... Read More

SEC looks at Morgan Stanley's cash in advisory accounts

"Since April 2024, [Morgan Stanley] has been engaged with and is responding to requests for information from the Enforcement Division of the SEC regarding advisory account cash balances swept to ... Read More

LPL, Morgan Stanley respond to new cash sweeps inquiries | Financial Planning

LPL and Morgan Stanley respond to new SEC ... There are no doubt firms that are now responding to SEC requests for information without ... LPL had $45.8 billion in client cash balances at ... Read More

Morgan Stanley Escapes SEC Cash Sweep Fines After Merrill, Wells Fargo Paid Up

While Morgan Stanley may have dodged regulatory punishment for now, it is still grappling with a series of class action lawsuits. The claims, brought by investors and advisory firms, allege the ... Read More

Morgan Stanley cleared in SEC 'cash sweeps' probe, but still faces state investigation

Morgan Stanley cleared in SEC 'cash sweeps' probe, but still faces state investigation. While Wells Fargo and Merrill Lynch paid $60 million for a "cash sweep" violation earlier this year, Morgan ... Read More

Morgan Stanley says SEC seeking details on advisory account cash balances

Morgan Stanley said on Monday it had received requests from the enforcement division of the U.S. securities regulator regarding advisory account cash balances swept to affiliate bank deposit programs. Read More