Violation Tracker Individual Record
Company:Morgan Stanley & Co. LLC
Date:December 17, 2012
Offense Group:financial offenses
Primary Offense:investor protection violation
Morgan Stanley agreed to pay a $5 million administrative penalty in settlement of allegations that its investment banking operation had improper influence over research analysts.
Level of Government:state
Action Type:agency action
Agency:Massachusetts Securities Division
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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