ERC721

NASD censured and fined Morgan Stanley DW Inc. $2.2 Million for more than 1,800 late disclosures of reportable information about its brokers. The late reports concerned, among other things, customer complaints and disciplinary actions by regulators. NASD also charged Morgan Stanley for supervisory failures relating to the late filings. For more info visit https://web.archive.org/web/20041010111401/http://www.nasdr.com/news/pr2004/release_04_052.html

Name

772

Owner

0xBd72D021d3cb334dEb3151Db905EE073b8eEE518

ID#772

Rarity

X-LO:85%

Parent Company

Morgan Stanley

EX:5%

Company

Morgan Stanley DW Inc.

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$2,200,000.00

EX:MAX

Year

2004