Morgan Stanley Fined for Customer Bond Transactions

WEALTH MANAGEMENT MADE PERSONAL DAILY Home   |   Discussions   |   Blogs   |   Advertise   |   Subscribe FOLLOW US: August 23, 2013 Morgan Stanley Fined for Customer Bond Transactions Morgan Stanley Smith Barney and Morgan Stanley & Co. have been fined $1 million by the Financial Industry Regulatory Authority (FINRA) it was announced today. read more » Smarter Ways to Serve Female Clients To ensure that your practice is meeting the needs of female clients, create goals for working with them -- and measure your success. read more » SEC's White Vows Technology Safeguards Following Nasdaq Failure SEC Chairman Mary Jo White said she would push to adopt proposed automated-trading rules after system caused a three- hour halt on the Nasdaq Stock Market. read more » Turn On Your Favorite Channel Rethinking Retirement -  For breaking news, targeted insights and expert coverage of retirement, visit On Wall Street's Rethinking Retirement Channel now - and everyday! Stifel CEO: Investors Unmoved by NASDAQ Halt A three hour pause in trading is “not going to be that big of a deal” for investors, Stifel's chairman and CEO Ron Kruszewski says. read more » SEC to Expand Ban on Employees Lobbying Agency After Departure Hundreds of SEC lawyers and examiners face new obstacles to cashing in on their agency experience under an expanded ethics rule to take effect in January. read more » Research Roundup: Why We Still Like China A spike in the country's short-term lending rate in June gave some investors the sniffles at least temporarily, while others have turned bearish on China amid concerns growth rates this year could be under the weather. - Franklin Templeton read more »  Turn On Your Favorite Channel  ETFs  For breaking news, targeted insights and expert coverage of ETFs, visit On Wall Street's ETFs Channel now - and everyday! Must Read Advisor Picks: 20 Must-Read Books After a strong response to our summer reading list for advisors, we decided to expand it. Here are the 20 books that financial advisors said -- via Twitter, LinkedIn, emails and phone calls -- were crucial to their practices. read more » Must Watch Lessons From D.A. Davidson’s Merger with Crowell Weedon D.A. Davidson’s Chairman and CEO Bill Johnstone discusses the growing importance of scale for smaller, regional broker-dealers. read more » Contact Us Samantha Allen samantha.allen@sourcemedia.com Senior Digital Editor Phone: 212.803.8752 Mark Lynch Mark.Lynch@sourcemedia.com Associate Publisher Phone: 781.626.4001 Videos Selecting the Right Advisor Coach Succession Planning for Business Owners How To Overcome Fear of Technology Planning 2023: What's Ahead? Advances in Mobile Technology Slide Shows 20 Ways to Improve Your Practice Breaking Down the Top 100 Branch Managers Volatility Strategy: 10 Key Messages for Wary Investors Unravel Alternative Investment Myths Top 10 Products Among Institutional Investors Web Seminars The Four Essential Steps to Becoming an RIA. Helping Clients Rethink a Risk-off Mentality Turnkey Sales Programs: How to distinguish a ‘good story’ from a true growth opportunity. © 2013 SourceMedia. All rights reserved. You are currently subscribed to onwallstreet.com as: buzzhairs.finance@blogger.com. Send this eNewsletter to a friend: Click here Unsubscribe from this mailing list: Click here Update your Profile: Click here To unsubscribe to other SourceMedia posts contact our Customer Service department at the phone number provided below. SourceMedia One State Street Plaza, 27th Floor New York, NY 10004 Phone: (800) 221-1809