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Violation Tracker Individual Record

Company: Morgan Stanley Capital Group
Current Parent CompanyMorgan Stanley
Parent at the Time of the Penalty Announcement subscribe to see this data field
Penalty: $14,000,000
Year: 2010
Date: April 29, 2010
Offense Group: miscellaneous offenses
Primary Offense: data submission deficiencies
Violation Description: The U.S. Commodity Futures Trading Commission announced the separate filings and simultaneous settlements of charges against Morgan Stanley Capital Group, Inc. and UBS Securities Inc. in connection with Morgan Stanley's alleged concealment from the New York Mercantile Exchange (NYMEX) the existence of a large Trade at Settlement (TAS) block crude oil trade. UBS Securities allegedly aided and abetted that concealment.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
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)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.