Violation Tracker Individual Record
Company:Morgan Stanley Smith Barney
Date:September 15, 2014
Primary Offense:financial institution supervision failures
The U.S. Commodity Futures Trading Commission settled charges against Morgan Stanley Smith Barney, LLC for improper supervision and records violations.
Level of Government:federal
Action Type:agency action
Agency:Commodity Futures Trading 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
Source of Data:
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