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 10-Oct-2007
Initial Filing Format Administrative Action
File Number 3-12864
Allegation Type Broker Dealer

Violations Alleged

Other
• Section 15B(c)(1) Exchange Act; Rule 10b-10 Exchange Act; MSRB Rule G-15

Resolutions

First Resolution Date 10-Oct-2007
Headline Total Penalty and Disgorgement $7,500,000

Related Documents:

34-56634 10-Oct-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), 15B(c), and 21C of the Securities Exchange Act of 1934
On October 10, 2007, the SEC instituted settled cease-and-desist proceedings against Morgan Stanley & Co. Incorporated ("MSDW") stating: "These proceedings arise out of MSDW’s failure over a five year period to provide to its customers accurate and complete written trade confirmations for certain fixed income securities."