CFTC Orders Morgan Stanley and Co. Incorporated to Pay a Penalty for Omitting Futures and Options Data

Reason:
Abuse
Content of Penalty:

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.

Date: 02/11/2017
Amount: 350,000
Link: http://www.cftc.gov/PressRoom/PressReleases/pr7638-17

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