Defendant Name:
Neil M.M. Morrison
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Neil M.M. Morrison
First Document Date
27-Sep-2012
Initial Filing Format
Administrative Action
File Number
3-15049
Allegation Type
Municipal Securities & Public Pensions
Affiliations
- Former: Vice President at Goldman, Sachs & Co. (July 14, 2008—December 19, 2010)
- Former: Broker/Registered Representative at Goldman, Sachs & Co.
- Former: Vice President of Investment Banking Division in one of the firm's Boston, MA offices at Goldman, Sachs & Co. (July 14, 2008—December 19, 2010)
Violations Alleged
•
MSRB Rule G-17; MSRB Rule G-37(c); MSRB Rule G-37(d)
Related Violations Alleged
Neil M.M. Morrison is alleged to have aided and abetted Goldman, Sachs & Co.'s violation of MSRB Rule G-8(a)(xvi), G-9, G-37(b), G-37(e); Section 15B(c)(1) Exchange Act (willfully/knowingly).
Neil M.M. Morrison is alleged to have caused Goldman, Sachs & Co.'s violation of MSRB Rule G-8(a)(xvi), G-9, G-37(b), G-37(e); Section 15B(c)(1) Exchange 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
- Bar from participating in any penny stock offering for 5 years
- Prohibited from serving in various capacities for 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
23-May-2013
Headline Total Penalty and Disgorgement
$100,000
