Violation Tracker Individual Record
Company:Morgan Stanley DW Inc.
Date:October 17, 2006
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:financial institution supervision failures
The New York Attorney General Spitzer announced a settlement with Morgan Stanley DW Inc., a wholly owned subsidiary of Morgan Stanley, for failing to supervise one of its brokers who defrauded 15 customers of more than $740,000.
Level of Government:state
Action Type:agency action
Agency:New York Attorney General
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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