Defendant Name:
Morgan Stanley and Co. LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
33-9055
Document Details
Legal Case Name
In the Matter of Morgan Stanley & Co. Incorporated
Document Name
Order Under Section 27A(b) of the Securities Act of 1933, and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934
Document Date
20-Jul-2009
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Document Summary
On July 20, 2009, the SEC granted Morgan Stanley & Co. Incorporated ("Morgan Stanley") a waiver from the disqualification provisions of Section 27A(b)(1)(A)(ii) of the Securities Act and Section 21E(b)(1)(A)(ii) of the Exchange Act arising from Morgan Stanley's settlement of an administrative proceeding commenced by the Commission.
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Waivers from the disqualification provisions of Sec 27A(b)(1)(A)(ii) Securities Act and Sec 21E(b)(1)(A)(ii) Exchange Act are granted
Monetary Penalties:
Civil Penalty
Individual:
$500,000.00
Shared: