Defendant Name:
Morgan Stanley Smith Barney LLC
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Morgan Stanley
SIC Code:
6211
CUSIP:
61744644
Initial Case Details
Legal Case Name
In the Matter of Morgan Stanley Smith Barney, LLC
First Document Date
14-Feb-2017
Initial Filing Format
Administrative Action
File Number
3-17845
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Section 206(4) Advisers Act; Rule 206(4)-7 Advisers Act
Resolutions
First Resolution Date
14-Feb-2017
Headline Total Penalty and Disgorgement
$8,000,000