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Rhode Island

Morgan Stanley Fined $250,000 by Rhode Island

The Rhode Island Department of Business Regulation fined Morgan Stanley $250,000 for failing to supervise sales representatives at its Providence, Rhode Island office.  According to the Rhode Island press release below, the charges related to the replacement of mutual funds with more expensive mutual funds and variable annuities.
Rhode Island Press Release

Posted by Greco & Greco on 07/20 at 02:16 PM
Mutual Funds • State Regulators • Rhode Island • Variable Annuities • Permalink

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