Defendant Name:
Sheila Huang
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Morgan Stanley Investment Management Inc. and Sheila Huang
First Document Date
22-Dec-2015
Initial Filing Format
Administrative Action
File Number
3-17016
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Managing Director at Morgan Stanley Investment Management Inc. (2010—2014)
- Former: Head of Mortgages; Lead Portfolio Manager for the Unregistered Fund at Morgan Stanley Investment Management Inc.
Violations Alleged
Additionally,
Morgan Stanley Investment Management Inc. is alleged to have aided and abetted Sheila Huang's violation of Section 17(a)(2) Investment Company Act (willfully/knowingly).
Morgan Stanley Investment Management Inc. is alleged to have caused Sheila Huang's violation of Section 17(a)(2) Investment Company Act.
Related Violations Alleged
Sheila Huang is alleged to have aided and abetted an unidentified individual or entity's violation of Section 206(1), 206(2) Investment Advisers Act (willfully/knowingly).
Sheila Huang is alleged to have caused an unidentified individual or entity's violation of Section 206(1), 206(2) Investment Advisers Act.
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 5 years
- prohibited from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 5 years
First Resolution Date
22-Dec-2015
Headline Total Penalty and Disgorgement
$8,125,000
Other Defendants in Action:
