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Violation Tracker Individual Record

Company: Morgan Stanley & Co. Inc.
Current Parent CompanyMorgan Stanley
Parent at the Time of the Penalty Announcement subscribe to see this data field
Penalty: $200,000
Year: 2000
Date: December 6, 2000
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The American Stock Exchange, LLC, NASD Regulation, Inc., and the New York Stock Exchange, Inc., as a result of a coordinated investigation, announced that Morgan Stanley & Co. Inc. consented to a censure and $200,000 fine for violations arising from the inaccurate reporting of short interest from November 1996 to August 1998.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data(click here)
Notes: FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.