Violation Tracker Individual Record
Company:Morgan Stanley DW Inc.
Date:November 17, 2003
Primary Offense:investor protection violation
Morgan Stanley DW Inc. agreed to pay $50 million to settle allegations that it failed to provide customers important information relating to their purchases of mutual fund shares.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
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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