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
17-Sep-2019
Initial Filing Format
Administrative Action
File Number
3-19467
Allegation Type
Municipal Securities & Public Pensions
Violations Alleged
•
Section 15B(c)(1) Exchange Act; Rules G-8, G-17, G-19, G-27 MSRB
Resolutions
First Resolution Date
17-Sep-2019
Headline Total Penalty and Disgorgement
$225,000