Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Morgan Stanley Smith Barney, LLC
Current Parent Company: Morgan Stanley
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $983,284
Year: 2018
Date: November 27, 2018
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Level of Government: state
Action Type: agency action
Agency: New Hampshire Bureau of Securities Regulation
Civil or Criminal Case: civil
Facility State: New Hampshire
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.