Violation Tracker Individual Record
Company:Morgan Stanley & Co.
Date:March 9, 2009
Offense Group:financial offenses
Primary Offense:investor protection violation
Morgan Stanley agreed to pay $8.5 million to a group of states to resolve allegations that it engaged in the sale of unregistered securities.
Level of Government:state
Action Type:agency action
Agency:Multistate Financial Regulators Case
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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