CFTC Orders Morgan Stanley and Co. Incorporated to Pay a Penalty for Omitting Futures and Options Data
United States
- 11/2/2017
- Fine
- 350,000.00
- CFTC
Detail
The CFTC Order requires Morgan Stanley to pay a $350,000 civil monetary penalty, cease and desist from further violations of the Commodity Exchange Act (CEA) and applicable Regulations, and comply with certain undertakings, including continuing cooperation with the CFTC's Division of Enforcement in any investigation, civil litigation, or administrative matter related to the subject matter of this action.