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Company: Morgan Stanley
Current Parent Company:
Morgan Stanley
Parent at the Time of the Penalty Announcement:
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Penalty: $5,000,000
Year: 2012
Date: June 5, 2012
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: The U.S. Commodity Futures Trading Commission settled charges that, over an 18-month period, Morgan Stanley & Co. LLC unlawfully executed, processed, and reported numerous off-exchange futures trades.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data:
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the
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