Defendant Name: Morgan Stanley and Co. 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 & Co. Incorporated
First Document Date 18-Dec-2007
Initial Filing Format Administrative Action
File Number 3-12907
Allegation Type Broker Dealer

Violations Alleged

Securities Act
Sec 17(a)(1)
Rule 17a-3 Exchange Act; Rule 22c-1(a) Investment Company Act


First Resolution Date 18-Dec-2007
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-56980 18-Dec-2007 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 9(b) and 9(f) of the Investment Company Act of 1940
On December 18, 2007, the SEC instituted settled administrative and cease-and-desist proceedings against Morgan Stanley & Co. Incorporated, the successor to Morgan Stanley DW Inc. ("MSDW"). According to the SEC: "From at least January 2002 until August 2003, four financial advisors ('FA 1,' 'FA 2,' 'FA 3,' and 'FA 4,' or collectively the 'FAs') at three MSDW offices ('Office A,' 'Office B,' and 'Office C') engaged in deceptive trading practices designed to circumvent mutual funds' restrictions on market timing."
34-57723 28-Apr-2008 Administrative Proceeding
Order Appointing Tax Administrator
The Commission stated: "IT IS ORDERED that Damasco, pursuant to and in accordance with the Omnibus Order, is appointed the Tax Administrator for the QSF".
34-61598 26-Feb-2010 Administrative Proceeding
Notice of Proposed Plan of Distribution and Opportunity for Comment
On February 26, 2010, the SEC issued a Notice of Proposed Plan of Distribution and Opportunity for Comment.
34-61598-pdp 26-Feb-2010 Administrative Proceeding
Proposed Plan of Distribution
On February 26, 2010 a Proposed Plan of Distribution was filed.
34-61882 09-Apr-2010 Administrative Proceeding
Order Approving Plan and Appointing a Plan Administrator
On April 9, 2010, the SEC issued an Order Approving Plan and Appointing a Plan Administrator.
34-70648 09-Oct-2013 Administrative Proceeding
Order Directing Disbursement of Fair Fund
On October 9, 2013, the SEC ordered that: "the Commission staff shall disburse the Fair Fund in the amount stated in the validated electronic payment file of $17,215,108.26 as provided for in the Distribution Plan."
34-77559 07-Apr-2016 Administrative Proceeding
Order Authorizing the Transfer to the U.S. Treasury of Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
On April 7, 2016, the Commission ordered the termination of the Fair Fund, the discharge of Rust Consulting, Inc. as the Fund Administrator, and the transfer of the remaining Fair Fund balance of $6,835.69 to the U.S. Treasury.

Related Actions:

SEC v. Darryl A. Goldstein and Christopher L. O'Donnell
In the Matter of Marc H. Plotkin