Violation Tracker Individual Record
Date:July 20, 2009
Offense Group:financial offenses
Primary Offense:investor protection violation
Morgan Stanley agreed to pay $500,000 to settle allegations that it misled clients about the money managers being recommended to them and failing to disclose conflicts of interest.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange 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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