Violation Tracker Individual Record
Company:Morgan Stanley Smith Barney
Date:October 22, 2012
Primary Offense:financial institution supervision failures
The U.S. Commodity Futures Trading Commission issued an Order settling charges that Morgan Stanley Smith Barney LLC failed to diligently supervise its employees' handling of customer accounts.
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:
Source Notes:If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.