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Violation Tracker Individual Record

Company: Morgan Stanley DW Inc.
Current Parent Company: Morgan Stanley
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $1,040,964
Year: 2006
Date: October 17, 2006
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: The New York Attorney General Spitzer announced a settlement with Morgan Stanley DW Inc., a wholly owned subsidiary of Morgan Stanley, for failing to supervise one of its brokers who defrauded 15 customers of more than $740,000.
Level of Government: state
Action Type: agency action
Agency: New York Attorney General
Civil or Criminal Case: civil
Facility State: New York
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)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.