Violation Tracker Individual Record
Company:Morgan Stanley & Co.
Date:May 10, 2006
Offense Group:miscellaneous offenses
Primary Offense:data submission deficiencies
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
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