CFTC Orders Morgan Stanley Smith Barney LLC to Pay $200,000 for Supervision Violations
10/22/2012 05:24 PM EDT
The CFTC issued an order filing and settling charges that Morgan Stanley Smith Barney LLC, a futures commission merchant based in Purchase, N.Y., violated CFTC regulation 166.3 by failing to diligently supervise its employees’ handing of customer accounts.
http://links.govdelivery.com/track?type ... 95-12.html
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CFTC Orders Morgan Stanley Smith Barney LLC to Pay $200,000
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CFTC Orders Morgan Stanley Smith Barney LLC to Pay $200,000
by admin » Mon Oct 22, 2012 6:52 pm
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