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September 15, 2014

Posted  September 15, 2014

The CFTC issued an order filing and simultaneously settling charges against Morgan Stanley Smith Barney, LLC, a CFTC-registered Futures Commission Merchant, for improper supervision and records violations. The CFTC order requires Morgan Stanley to pay a $280,000 civil monetary penalty and to disgorge commissions it earned from the subject accounts. CFTC