Defendant Name:
Morgan Stanley and Co. LLC
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Morgan Stanley
SIC Code:
6712
CUSIP:
61744644
Initial Case Details
Legal Case Name
In the Matter of Morgan Stanley & Co. Incorporated
First Document Date
20-Jul-2009
Initial Filing Format
Administrative Action
File Number
3-13558
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Sections 206(2), 204 Advisers Act; Rules 204-2(a)(7), 204-2(a)(10) Advisers Act
Resolutions
First Resolution Date
20-Jul-2009
Related Documents:
2009-164
20-Jul-2009
Press Release--Administrative Proceeding
SEC Charges Morgan Stanley and Former Adviser with Misleading Clients
On July 20, 2009, the SEC announced that it had "charged Morgan Stanley and one of the firm's former investment adviser representatives with securities law violations for misleading clients about the money managers being recommended to them and failing to disclose conflicts of interest."
34-60342
20-Jul-2009
Administrative Proceeding
Order Instituting Administrative And Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions, a Censure, and a Cease-and-Desist Order Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) And 203(k) of the Investment Advisers Act of 1940
On July 20, 2009, the SEC instituted settled administrative and cease and desist proceedings against Morgan Stanley & Co. Incorporated ("Morgan Stanley"). According to the SEC: "From 2000 through at least April 2006, Morgan Stanley (f/k/a Morgan Stanley DW Inc.) breached its fiduciary duty to certain of the firm's advisory clients and prospective advisory clients of its Nashville, Tennessee branch office by making material misstatements."
33-9054
20-Jul-2009
Administrative Proceeding
Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision
On July 20, 2009, the SEC granted Morgan Stanley & Co. Incorporated ("Morgan Stanley") a waiver of the Rule 602(c)(3) disqualification from the exemption from registration under Regulation E arising from Morgan Stanley's settlement of an administrative proceeding commenced by the Commission.
33-9055
20-Jul-2009
Administrative Proceeding
Order Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934
On July 20, 2009, the SEC granted Morgan Stanley & Co. Incorporated ("Morgan Stanley") a waiver from the disqualification provisions of Section 27A(b)(1)(A)(ii) of the Securities Act and Section 21E(b)(1)(A)(ii) of the Exchange Act arising from Morgan Stanley's settlement of an administrative proceeding commenced by the Commission.
