Related Documents:
33-9617
24-Jul-2014
Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order
On July 24, 2014, the SEC instituted "cease-and-desist proceedings...pursuant to Section 8A of the Securities Act" against Respondents. "This matter concerns Morgan Stanley's misleading public disclosures regarding the number of delinquent loans in two subprime residential mortgage-backed securities...transactions offered in 2007."
33-9618
24-Jul-2014
Administrative Proceeding
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
On July 24, 2014, the SEC issued an order relating to Morgan Stanley's settlement of another administrative proceeding. The SEC "determined that...[Morgan Stanley's] request for a waiver of the disqualifications resulting from the issuance of the Commision's Order instituting proceedings is appropriate and should be granted."
2014-144
24-Jul-2014
Press Release--Administrative Proceeding
Morgan Stanley to Pay $275 Million for Misleading Investors in Subprime RMBS Offering
On July 24, 2014, the SEC announced in a Press Release that: "The Securities and Exchange Commission today charged three Morgan Stanley entities with misleading investors in a pari of residential mortgage-backed securities (RMBS) securitization that the firms underwrote, sponsored, and issued."
34-74231
06-Feb-2015
Administrative Proceeding
Order Appointing Tax Administrator
On February 6, 2015, the SEC ordered the appointment of Damask and Associates LLP as the Tax Administrator for the Qualified Settlement Fund.
34-77063
04-Feb-2016
Administrative Proceeding
Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
On February 4, 2016, the SEC ordered the appointment of Garden City Group, LLC as the fund plan administrator and set the administrator's bond at $275,000,000.
34-85998
31-May-2019
Administrative Proceeding
Notice of Proposed Plan of Distribution and Opportunity for Comment
The SEC stated: "Notice is hereby given [...] that the Division of Enforcement has submitted to the Commission a proposed plan of distribution ("Distribution Plan") for the distribution of monies paid by Morgan Stanley and Co. LLC (f/k/a Morgan Stanley and Co. Incorporated) ("MS & Co."), Morgan Stanley ABS Capital I Inc., ("MSAC"), and Morgan Stanley Mortgage Capital Holdings LLC, ("MSMCH") (collectively, the "Respondents")."
Proposed Plan of Distribution Plan for Morgan Stanley Fair Fund
The SEC stated: "The Division of Enforcement submits this proposed plan of distribution (the "Plan") [...]. This Plan sets forth the methods and procedures for distributing the Fair Fund. This Plan is subject to approval by the Commission, and the Commission retains jurisdiction over the implementation of this Plan."
34-86474
25-Jul-2019
Administrative Proceeding
Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
The Commission stated: "IT IS ORDERED that pursuant to Rule 1104 of the Rules, for good cause
shown, the time for entering an order approving or disapproving the Plan is extended to
November 30, 2019."
34-89201
30-Jun-2020
Administrative Proceeding
Order Approving Plan of Distribution
The Commission stated: "[I]t is hereby ORDERED . . . that the Plan is approved."
34-93022
16-Sep-2021
Administrative Proceeding
Order Directing Disbursement of Fair Fund
The Commission ordered that: "Commission staff shall transfer
$124,758,618.37 from the Fair Fund to the Fair Fund’s escrow account at The Huntington
National Bank, and the Fund Administrator shall distribute such monies to the eligible claimants
in accordance with the Plan."