Defendant Name: Morgan Stanley & Co. Incorporated 

Defendant Type: Subsidiary of Public Company

Document Reference: LR-26434_03-cv-02948

Document Details

Legal Case Name SEC v. Morgan Stanley & Co. Incorporated
Document Name Global Research Analyst Settlement; SEC Consents to Termination of Undertakings in Global Research Analyst Settlement
Document Date 05-Dec-2025
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
Document Summary On December 5, 2025, the SEC stated that: "[It] consented to modifications to the October 2003 . . . and September 2004 . . . final judgments against settling firms still covered by the Global Research Analyst Settlement, a global settlement of SEC and other enforcement actions against twelve investment banks and two individuals. The modifications are subject to court approval."

Disgorgement & Penalty Information

Resolutions
Modification to final judgment

Related Documents:

court_doc150_03-cv-02948 05-Dec-2025 Court Docket Document
Notice Regarding Defendants' Rule 60(b) Motion to Modify Addendum A of Global Research Settlement
The SEC stated: "[T]he Securities and Exchange Commission (SEC) consents to the relief sought by the motions and agrees that the final judgments should be modified as reflected in the proposed orders submitted by each respective Defendant. . . . Based on these unique facts and circumstances, the SEC believes modification of the Judgment is in the public interest."

Other Defendants in Action:

Morgan Stanley & Co. Incorporated