Defendant Name:
Morgan Stanley Smith Barney LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
2016-112
Document Details
Legal Case Name
In the Matter of Morgan Stanley Smith Barney LLC
Document Name
SEC: Morgan Stanley Failed to Safeguard Customer Data
Document Date
08-Jun-2016
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
On June 8, 2016, the SEC announced that "Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information, some of which was hacked and offered for sale online."
Disgorgement & Penalty Information
Resolutions
None Specified