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 SEC v. Morgan Stanley & Co. Incorporated
First Document Date 28-Apr-2003
Initial Filing Format Civil Proceeding
Case Number 03-cv-02948
Allegation Type Investment Advisers/Investment Companies
Federal District Court New York, Southern District of New York

Violations Alleged

Other
• Rules 2110, 2210(d)(1)(A), 3010(a) Conduct Rules of NASD; Rules 342, 401, 472, 476(a)(6) NYSE

Resolutions

First Resolution Date 28-Apr-2003
Headline Total Penalty and Disgorgement $125,000,000

Related Documents:

comp18117 28-Apr-2003 Complaint
Complaint
According to the SEC: "Morgan Stanley engaged in acts and practices that created conflicts of interest for its research analysts with respect to investment banking activities and considerations. Morgan Stanley failed to manage those conflicts in an adequate or appropriate manner."
judge18117 28-Apr-2003 Court Docket Document
Final Judgment as to Defendant Morgan Stanley and Co. Incorporated
LR-18117 28-Apr-2003 Litigation Release
SEC Sues Morgan Stanley for Research Analyst Conflicts of Interest Firm to Settle With SEC, NASD, NYSE, NY Attorney General, and State Regulators
According to the SEC: "The Securities and Exchange Commission announced today that it has settled charges against Morgan Stanley & Co. Incorporated, a New York- based brokerage firm and investment bank, arising from an investigation of research analyst conflicts of interest. This settlement, and settlements with nine other brokerage firms, are part of the global settlement the firms have reached with the Commission, NASD, Inc., the New York Stock Exchange, Inc. ("NYSE"), the New York Attorney General, and other state regulators."
LR-21457 19-Mar-2010 Litigation Release
Court Approves Modifications to Global Research Analyst Settlement
On March 19, 2010, the SEC published a litigation release announcing that the Honorable William H. Pauley issued an order approving modifications to the final judgments entered against Morgan Stanley & Co. Incorporated and the other firms covered by the Global Research Analyst Settlement.