{"id":234,"date":"2007-10-01T07:17:04","date_gmt":"2007-10-01T07:17:04","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2007\/10\/morgan_stanley_to_pay_125_mill"},"modified":"2021-11-12T13:08:20","modified_gmt":"2021-11-12T19:08:20","slug":"morgan-stanley-to-pay-125-mill","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/morgan-stanley-to-pay-125-mill\/","title":{"rendered":"Morgan Stanley to Pay $12.5 Million in Compensation and Fines"},"content":{"rendered":"

\t\t\t\tMorgan Stanley says it will pay $12.5 million as part of a settlement to resolve charges that the company neglected to produce e-mails that had been lost during the September 11, 2001 terrorist attacks in New York. <\/p>\n

The Financial Industry Regulatory Authority (FINRA) announced the settlement on Thursday. Morgan Stanley will pay $9.5 million to a fund designated for thousands of investors that have filed arbitration complaints. The remaining $3.5 million is a fine. The settlement also resolves charges that Morgan Stanley did not provide other documents required for certain arbitration cases. <\/p>\n

Morgan Stanley will retain an independent consultant to make sure that retail brokerage clients in arbitration get specific materials that they need. By agreeing to the settlement, Morgan Stanley is not admitting to any wrongdoing. <\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Morgan Stanley says it will pay $12.5 million as part of a settlement to resolve charges that the company neglected to produce e-mails that had been lost during the September 11, 2001 terrorist attacks in New York. The Financial Industry Regulatory Authority (FINRA) announced the settlement on Thursday. Morgan Stanley will pay $9.5 million to […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3739,3787],"tags":[],"class_list":["post-234","post","type-post","status-publish","format-standard","hentry","category-finra","category-morgan-stanley"],"yoast_head":"\nMorgan Stanley to Pay $12.5 Million in Compensation and Fines — Investor Lawyers Blog — October 1, 2007<\/title>\n<meta name=\"description\" content=\"Morgan Stanley says it will pay $12.5 million as part of a settlement to resolve charges that the company neglected to produce e-mails that had been lost — October 1, 2007\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/morgan-stanley-to-pay-125-mill\/\" 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