Morgan Stanley and Co. LLC
Financial crimeUnited States. Named in 3 sanctions listings.
Sanctions and listings3
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20100214853-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley & Co. LLC, Respondent Broker-Dealer CRD No. 8209 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley & Co. LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC
Reference 2010021485301data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090181611 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley & Co. LLC ("Morgan Stanley," "Respondent" or "the Firm"), CRD No. 8209 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2009018161101finra.orgdata-portal.finra.org
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.