Defendant Name:
Morgan Stanley and Co. LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
judge18117
Document Details
Legal Case Name
SEC v. Morgan Stanley and Co. Incorporated
Document Name
Final Judgment as to Defendant Morgan Stanley and Co. Incorporated
Document Date
28-Apr-2003
Document Format
Civil Proceeding
Case Number
03-cv-02948
Federal District Court
New York, Southern District of New York
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Enjoinment
Compliance Related Independent Consultant
Monetary Penalties:
Disgorgement
Individual:
$25,000,000.00
Shared:
Civil Penalty
Individual:
$25,000,000.00
Shared:
Independent Research to be paid over 5 years
Individual:
$75,000,000.00
Shared:
Total Penalty
Individual:
$125,000,000.00
Shared: