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Violation Tracker Individual Record

Company: Morgan Stanley
Current Parent Company: Morgan Stanley
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $350,000
Year: 2017
Date: November 2, 2017
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: data submission deficiencies
Violation Description: The Commodity Futures Trading Commission issued an Order filing and simultaneously settling charges against Morgan Stanley, a registered Futures Commission Merchant (FCM), for non-compliance with applicable rules governing Part 17 Large Trader reports to the CFTC spanning a ten-year period and affecting thousands of line items of information.
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: (click here)
Archived Source: (click here)
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.