Violation Tracker Individual Record

Company: 
Morgan Stanley & Co.
Current Parent Company: 
Morgan Stanley
Penalty: 
$8,500,000
Year: 
2009
Date: 
March 9, 2009
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

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
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.