Morgan Stanley Smith Barney was charged Monday with failing to reasonably supervise four of its advisors - Michael Carter, Chingyuan “Gary” Chang, Douglas McKelvey, and Jesus Rodriguez - who ...

Morgan Stanley Smith Barney will pay a $15 million penalty as part of a settlement with the Securities and Exchange Commission related to four financial advisers who stole millions of dollars of ...

Until at least December 2022, Morgan Stanley Smith Barney “failed to adopt and implement policies and procedures reasonably designed to prevent” its financial advisors from using two forms of ...