Violation Tracker Individual Record
Date:June 5, 2012
Primary Offense:securities issuance or trading violation
The U.S. Commodity Futures Trading Commission settled charges that, over an 18-month period, Morgan Stanley & Co. LLC unlawfully executed, processed, and reported numerous off-exchange futures trades.
Level of Government:federal
Action Type:agency action
Agency:Commodity Futures Trading Commission
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:New York
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:financial services
Source of Data:
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