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.
