Defendant Name:
Morgan Stanley and Co. LLC
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Morgan Stanley
SIC Code:
6211
CUSIP:
61744644
Document Reference:
34-56634
Document Details
Legal Case Name
In the Matter of Morgan Stanley & Co. Incorporated
Document Name
Order Instituting Administrative and Cease-And-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order Pursuant to Sections 15(b), 15B(c), and 21C of the Securities Exchange Act of 1934
Document Date
10-Oct-2007
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
On October 10, 2007, the SEC instituted settled cease-and-desist proceedings against Morgan Stanley & Co. Incorporated ("MSDW") stating: "These proceedings arise out of MSDW’s failure over a five year period to provide to its
customers accurate and complete written trade confirmations for certain fixed income securities."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Compliance Related Independent Consultant
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$7,500,000.00
Shared:
