MORGAN STANLEY INVESTMENT MANAGEMENT INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 110353). Regulatory assets under management: $702.2B.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos.
Showing 25 of 80 people.
| Name | Role | Location |
|---|---|---|
| Thomas Owen | PRESIDENT, DIRECTOR & MANAGING DIRECTOR; PRESIDENT & MANAGING DIRECTOR | Dallas, TX |
| RYAN G PATRICK | CHIEF COMPLIANCE OFFICER & PRINCIPAL | CHICAGO, IL |
| Thomas Stuart | DIRECTOR & MANAGING DIRECTOR | North Salt Lake, UT |
| Thomas V David | ACTING PRESIDENT; PRESIDENT; PRESIDENT, CHIEF OPERATING OFFICER & MANAGING DIRECTOR | Pepper Pike, OH |
| Benjamin Cordt Huneke | PRESIDENT & MANAGING DIRECTOR | New York, NY |
| Scott Matthew Steel | DIRECTOR & MANAGING DIRECTOR | New York, NY |
| THOMAS D STUART | DIRECTOR & MANAGING DIRECTOR | NORTH SALT LAKE, UT |
| Ryan R Patrick | CHIEF COMPLIANCE OFFICER & PRINCIPAL | BEND, OR |
| Thomas Nicholas Owen | PRESIDENT, DIRECTOR & MANAGING DIRECTOR; PRESIDENT & MANAGING DIRECTOR | — |
| Thomas Valentine David | ACTING PRESIDENT; PRESIDENT; PRESIDENT, CHIEF OPERATING OFFICER & MANAGING DIRECTOR | — |
| Tatiana Vladimir Segal | DIRECTOR & MANAGING DIRECTOR | — |
| Mary Elizabeth Mullin | GENERAL COUNSEL & MANAGING DIRECTOR | — |
| Lisa Buhain Winslow | DIRECTOR & MANAGING DIRECTOR | — |
| Rohit Vijay Goenka | CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR | — |
| Benjamin Patrick Hammes | HEAD OF DERIVATIVES ADVISORY COMPLIANCE; HEAD OF DERIVATIVES ADVISORY COMPLIANCE & EXECUTIVE DIRECTOR | — |
| Ruairi O'Healai | DIRECTOR & MANAGING DIRECTOR | — |
| Anton Bogdanov Kuzmanov | DIRECTOR & MANAGING DIRECTOR | — |
| Deidre Aisha Downes | CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR | — |
| Eric Brian Kayne | CHIEF OPERATING OFFICER, DIRECTOR & MANAGING DIRECTOR; DIRECTOR & MANAGING DIRECTOR | — |
| BIGGS BARTON MICHAEL | CHAIRMAN, DIRECTOR & MD | — |
| FINK BARRY | CHIEF LEGAL OFFICER, DIRECTOR & SECRETARY; GENERAL COUNSEL, DIRECTOR, MANAGING DIRECTOR & SECRETARY; GENERAL COUNSEL, DIRECTOR & SECRETARY (+1 more) | — |
| OTTO CARSTEN | EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| HILLER JEFFREY | MANAGING DIRECTOR AND GLOBAL DIRECTOR OF COMPLIANCE | — |
| GUPTA ACHAL KUMAR | CHIEF ADMINISTRATIVE OFFICER-INVESTMENTS; CHIEF ADMINISTRATIVE OFFICER-INVESTMENTS & MANAGING DIRECTOR; CHIEF ADMINISTRATIVE OFFICER-INVESTMENTS & MD | — |
| WIRTH PAUL C | CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-03-06 | regulatory | THE HELLENIC CAPITAL MARKET COMMISSION (HCMC) ALLEGED THAT MORGAN STANLEY COMMITTED MARKET MANIPULATION PURSUANT TO ARTICLE 7, PAR. 2(C) OF LAW 3340/2005 BY DISCLOSING THAT THE FIRM, THROUGH VARIOUS SUBSIDIARIES, HAD ACQUIRED MORE THAN 5% OF ALPHA BANK, HOWEVER 4.16% OF THE HOLDING WAS HELD BY A SUB… | Final | $53K |
| 2016-03-26 | regulatory | THE PORTUGUESE SECURITIES MARKET COMMISSION (CMVM) ALLEGED THAT THE FIRM DID NOT NOTIFY THE CMVM OR THE ISSUING COMPANY OF CHANGES TO CERTAIN QUALIFYING HOLDINGS WITHIN THE REQUIRED TIME PERIOD, IN VIOLATION OF ARTICLE 16 OF THE PORTUGUESE SECURITIES CODE | Final | — |
| 2016-02-11 | regulatory | THE ILLINOIS ATTORNEY GENERAL'S OFFICE ("ILAG") ALLEGED THAT MORGAN STANLEY VIOLATED ILLINOIS LAW IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2002 AND 2008. | Final | $22.5M |
| 2016-02-11 | regulatory | THE NEW YORK ATTORNEY GENERAL'S OFFICE ("NYAG") ALLEGED THAT MORGAN STANLEY VIOLATED NEW YORK LAW IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2006 AND 2007. | Final | $150.0M |
| 2015-12-22 | regulatory | PURSUANT TO AN OFFER OF SETTLEMENT, THE SEC FOUND, AND THE REGISTRANT NEITHER ADMITTED NOR DENIED, THAT MSIM WILLFULLY VIOLATED SECTION 17(A)(3) OF THE SECURITIES ACT OF 1933 ("SECURITIES ACT") AND SECTION 206(2) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT"), VIOLATED SECTION 206(4) OF THE… | Final | $8.0M |
| 2014-08-21 | regulatory | HCMC ALLEGED THAT MS FAILED TO PROPERLY OR TIMELY REPORT WHEN MS HOLDINGS IN CERTAIN COMPANIES INCREASED OR DECREASED BY MORE THAN 3%, OR EXCEEDED OR FELL BELOW 5%, 10% AND 15% THRESHOLDS, AS REQUIRED BY GREEK PRESIDENTIAL DECREE PD 51/1992 AND LAW 3556/2007. | Final | $94K |
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