Violation Tracker Individual Record
Company:Morgan Stanley Smith Barney
Date:February 14, 2017
Primary Offense:investor protection violation
Morgan Stanley Smith Barney agreed to pay an $8 million penalty and admit wrongdoing to settle allegations related to single inverse ETF investments it recommended to advisory clients.
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
Source of Data:
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