Defendant Name: William Keith Phillips 

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of William Keith Phillips
First Document Date 20-Jul-2009
Initial Filing Format Administrative Action
File Number 3-13559
Allegation Type Investment Advisers/Investment Companies

Affiliations

Violations Alleged

Related Violations Alleged

William Keith Phillips  is alleged to have aided and abetted Morgan Stanley & Co. Incorporated 's violation of Section 206(2) Advisers Act (willfully/knowingly).
William Keith Phillips  is alleged to have caused Morgan Stanley & Co. Incorporated 's violation of Section 206(2) Advisers Act (willfully/knowingly).

Resolutions

Bars:
First Resolution Date 04-Jan-2010
Headline Total Penalty and Disgorgement $80,000

Related Documents:

34-60344-o 20-Jul-2009 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisors Act of 1940 and Section 15(b)(6) of the Securities Exchange Act of 1934
34-61278 04-Jan-2010 Administrative Proceeding
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 15(b)(6) of the Securities Exchange Act of 1934

Related Actions:

In the Matter of Morgan Stanley & Co. Incorporated
Morgan Stanley & Co. Incorporated