Case Result
$5M
Investment Misconduct - Securities Fraud
2020
Albany, NY
Case results are sourced directly from attorney websites by Injuria.ai's data infrastructure, which actively monitors 22,000+ personal injury law firms. They are not results obtained by ThatCarHitMe.com. Prior results do not guarantee a similar outcome.
Case Details
Morgan Stanley Smith Barney agreed to settle charges that it provided misleading information to clients in its Retail Wrap Fee Programs regarding trade execution services and transaction costs.
Additional Notes
SEC announced settlement charges against Morgan Stanley Smith Barney for misleading information in Retail Wrap Fee Programs. A Fair Fund of $5,000,000 was created for harmed investors.
More Results from The Law Offices of Timothy J. O’Connor & Stockbroker LawThe results shown are not necessarily representative of all results obtained by this firm.
Represented By
The Law Offices of Timothy J. O’Connor & Stockbroker Law
Albany, NY
1 attorney
Top Rated Personal Injury Law Firms in Albany, NY
Compare firms ranked by Google Reviews.
View Top Rated Firms