MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC of GREENWOOD VILLAGE, CO is an SEC-registered investment adviser (CRD 149122). Regulatory assets under management: $14.7B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Pooled vehicles, Pensions, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Jayson Allen Davidson | VICE PRESIDENT | — |
| Warren Dale Parker | VICE PRESIDENT | — |
| Jeremiah Michael France | MANAGER (BOARD OF MANAGERS), CHAIRMAN, CHIEF EXECUTIVE OFFICER | — |
| Mark Julien Thompson | MANAGER (BOARD OF MANAGERS), PRESIDENT | — |
| Marc Ira Gordon | CHIEF FINANCIAL OFFICER | — |
| Christopher Richard Gargano | CHIEF COMPLIANCE OFFICER | — |
| Scott Michael Mcintosh | VICE PRESIDENT | — |
| DAVIDSON ROBERT A | VICE PRESIDENT | — |
| WORTHINGTONRUPPELT MICHELLE KAY | CHIEF COMPLIANCE OFFICER | — |
| GORDON STEPHEN MARC | CHIEF FINANCIAL OFFICER | — |
| DAVIDSON JAYSON ALLEN | MANAGER; MANAGING PARTNER, DIRECTOR OF CONSULTING SERVICES; VICE PRESIDENT (+1 more) | — |
| PARKER WARREN DALE | CHIEF COMPLIANCE OFFICER & MANAGER; MANAGER; MANAGING PARTNER, DIRECTOR OF ANALYTICAL SERVICES (+2 more) | — |
| LOESCHER BRIAN JAMES | CHIEF COMPLIANCE OFFICER; MANAGER; MANAGING PARTNER, DIRECTOR OF RESEARCH | — |
| FRANCE ADAM MICHAEL | MANAGER (BOARD OF MANAGERS), CHAIRMAN, CHIEF EXECUTIVE OFFICER | — |
| GORDON ROBERT IRA | CHIEF FINANCIAL OFFICER | — |
| MCINTOSH SCOTT MICHAEL | VICE PRESIDENT | — |
| THOMPSON MARK JULIEN | MANAGER (BOARD OF MANAGERS), PRESIDENT | — |
| GARGANO CHRISTOPHER RICHARD | CHIEF COMPLIANCE OFFICER | — |
| Parker Warren D | VICE PRESIDENT | — |
| Tevfik Peker | MANAGER (BOARD OF MANAGERS) AND PRESIDENT | — |
| Daniel Thompson Gamble | VICE PRESIDENT | — |
| 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 |
| 2016-03-22 | 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 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 |
| 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 U.S. DEPARTMENT OF JUSTICE ALLEGED THAT MORGAN STANLEY VIOLATED FEDERAL LAWS IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2005 AND 2007. | Final | $2.6B |
| 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 | $71K |