Violation Tracker Individual Record

Company: 
Morgan Stanley & Co.
Current Parent Company: 
Morgan Stanley
Penalty: 
$10,000,000
Year: 
2006
Date: 
May 10, 2006
Offense Group: 
miscellaneous offenses
Primary Offense: 
data submission deficiencies
Violation Description: 

Morgan Stanley & Co. agreed to pay $10 million to settle allegations that it failed to produce tens of thousands of e-mails during the SEC's IPO and Research Analyst investigations from Dec. 11, 2000, through at least July 2005.

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 Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.