Defendant Name:
Morgan Stanley and Co. LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
2009-164
Document Details
Legal Case Name
In the Matter of Morgan Stanley & Co. Incorporated
Document Name
SEC Charges Morgan Stanley and Former Adviser with Misleading Clients
Document Date
20-Jul-2009
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Document Summary
On July 20, 2009, the SEC announced that it had "charged Morgan Stanley and one of the firm's former investment adviser representatives with securities law violations for misleading clients about the money managers being recommended to them and failing to disclose conflicts of interest."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Monetary Penalties:
Civil Penalty
Individual:
$500,000.00
Shared: