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Regulatory Actions

MORGAN STANLEY DW INC NFA ID: 0002490

This page includes information regarding the Case History of these matters concerning the person or firm you are researching. It may also include the Outcome if the cases have been resolved regarding this person or firm.
Just like in all legal proceedings, when regulatory actions are resolved, it is almost always by settlement, not adjudication. A settlement may result in the imposition of a penalty without a determination of the merits of the charges or formal findings of wrongdoing. If the particular matter you are interested in has been resolved, please refer to the Narrative, and for certain NFA cases, the decision as provided in the Case Documents summary, to see whether it was adjudicated or settled.

ContributorCase #Action TypeEffective DateCase Outcome
NFA 88BCC00016 • NFA GENERAL DISCIPLINARY ACTION
06/03/1988 • FINE $10000
CACE 94-011 • SPECULATIVE POSITION LIMIT
08/01/1994 • FINE $2400
CBOT 97-RFT-030 • FLOOR RECORDKEEPING
07/14/1997 • FINE $500
CBOT 95-RRR-232 • FLOOR RECORDKEEPING
02/05/1996 • FINE $250
CBOT 95-MSI-12A • GENERAL CONDUCT
03/21/1997 • FINE $2500
CBOT 95-MSI-09 • GENERAL CONDUCT
08/03/1995 • FINE $250
CBOT 90-EX -16 • OFFICE RECORDKEEPING
02/25/1991 • FINE $2000
CME 964509FP • TRADE PRACTICE
01/20/1998 • FINE $10000
CSCE I97-63 • FINANCIAL POSITION AND REPORTING
10/27/1997 • FINE $20000
• CEASE AND DESIST
CSCE I92-44 • SPECULATIVE POSITION LIMIT
04/06/1993 • FINE $5000
CSCE I92-38 • SPECULATIVE POSITION LIMIT
01/25/1993 • FINE $2000
CSCE I90-20 • TRADE PRACTICE
• FINANCIAL POSITION AND REPORTING
09/14/1990 • FINE $1250
CSCE I89-83 • SPECULATIVE POSITION LIMIT
• FINANCIAL POSITION AND REPORTING
04/03/1990 • FINE $1000
NYCE 91-006 • FLOOR RECORDKEEPING
04/15/1991 • FINE $500
NYME TENDER#2 • GENERAL CONDUCT
04/10/1991 • FINE $12000
NYME TENDER NO. 2 • GENERAL CONDUCT
04/10/1991 • FINE $12000
NYME 90-F62 • GENERAL CONDUCT
07/18/1990 • FINE $1000
 
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