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Morgan Stanley Smith Barney LLC

Date:

January 12, 2023

Type of alert:

FINRA AWC  

Morgan Stanley Smith Barney LLC entered into a FINRA Acceptance, Waiver, and Consent. The firm allegedly failed to supervise nine registered representatives. The firm consented, without admitting or denying the claims, to a censure, $200,000 fine, and restitution of $497,897.

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