MORGAN STANLEY of PURCHASE, NY is an SEC-registered investment adviser (CRD 149777). Regulatory assets under management: $2.0T. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance, Commissions, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Other.
Showing 25 of 66 people.
| Name | Role | Location |
|---|---|---|
| Timothy Gerard Hansen | CHIEF COMPLIANCE OFFICER (IA ONLY ) | — |
| Jed Finn | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| James Troy Janover | DIRECTOR | — |
| David Anthony Galasso | PRINCIPAL OPERATIONS OFFICER | — |
| Patricia Kay Fletcher | TEXAS DESIGNATED PRINCIPAL | — |
| Michael S Hennessy | DIRECTOR | — |
| Chad Edward Turner | DIRECTOR | — |
| William Benjamin Givens | CHIEF COMPLIANCE OFFICER (BD ONLY) | — |
| John William Crowe | CHIEF FINANCIAL OFFICER | — |
| FLEMING GREGORY JAMES | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | — |
| HARRIS RAYMOND ALBERT JR | BOARD MEMBER; DIRECTOR; DIRECTOR & BOARD MEMBER | — |
| GORMAN JAMES PATRICK | CHAIRMAN AND DIRECTOR; CHAIRMAN/CEO; CHAIRMAN & CEO & DIRECTOR | — |
| HANAN SHELLEY SUZANNE | CHIEF ADMINISTRATIVE OFFICER | — |
| GELFAND JEFFREY ALLEN | CFO; CFO/FINOP; CHIEF FINANCIAL OFFICER AND VICE PRESIDENT | — |
| OROSCHAKOFF MICHELLE | CHIEF COMPLIANCE OFFICER; CO-CHIEF COMPLIANCE OFFICER | — |
| KNAPP MATTHEW PAUL | CHIEF COMPLIANCE OFFICER (IA ONLY ); CO-CCO (IA ONLY - MORGAN STANLEY CHANNEL) | — |
| BALDAUF ANDREW JOHN | CO-CCO (IA ONLY- SMITH BARNEY CHANNEL) | — |
| JOHNSTON CHARLES DEAN | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR; CHIEF EXECUTIVE OFFICER, PRESIDENT, DIRECTOR AND BOARD MEMBER; DIRECTOR (+3 more) | — |
| NELLI THOMAS | CHIEF COMPLIANCE OFFICER | — |
| FURBER SARA H | DIRECTOR | — |
| FLEMING GREGORY J | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR; CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | — |
| JANOVER JAMES TROY | DIRECTOR | — |
| GOOLEY THOMAS | CHIEF OPERATING OFFICER; CHIEF OPERATIONS OFFICER; CO-CHIEF OPERATING OFFICER | — |
| CORBAT MICHAEL LOUIS | BOARD MEMBER; DIRECTOR; DIRECTOR & BOARD MEMBER | — |
| FORESE JAMES ANTHONY | BOARD MEMBER; DIRECTOR; DIRECTOR & BOARD MEMBER | — |
Showing 10 of 72 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-12-09 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ALLEGED THAT, MORGAN STANLEY SMITH BARNEY LLC (THE FIRM) FAILED TO ADOPT AND IMPLEMENT POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT PERSONNEL FROM MISUSING AND MISAPPROPRIATING FUNDS IN CLIENT ACCOUNTS AND THE FIRM'S INADEQUATE POLICIES AND PROCEDURES… | Final | $15.0M |
| 2024-09-05 | regulatory | THE MASSACHUSETTS SECURITIES DIVISION (MSD) ALLEGED THAT MORGAN STANLEY SMITH BARNEY LLC (THE "FIRM") (1) DID NOT HAVE A SPECIFIC PROCESS FOR REVIEW OF TRADES BY INSIDERS OF FDIC-REGULATED INSTITUTIONS, AND (2) FAILED TO CONDUCT A REASONABLE POST-TRADE REVIEW OF CERTAIN TRANSACTIONS BY A FIRM CLIENT… | Final | $2.0M |
| 2024-08-13 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, MORGAN STANLEY SMITH BARNEY LLC (THE FIRM) CONSENTED TO SANCTIONS AND TO THE ENTRY OF FINDINGS THAT FROM MAY 2018 THROUGH JULY 2022: THE FIRM (1) PROVIDED WRITTEN TRADE CONFIRMATIONS TO NON-INSTITUTIONAL CUSTOMERS THAT DID NOT DISCLOSE AT ALL THE FIRM'S MAR… | Final | $400K |
| 2024-02-15 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, MORGAN STANLEY SMITH BARNEY LLC (THE FIRM) CONSENTED TO SANCTIONS AND TO THE ENTRY OF FINDINGS THAT: FROM DECEMBER 2016 THROUGH AUGUST 2021, THE FIRM FAILED TO CANCEL OR CLOSE OUT 239 FAILED INTER-DEALER MUNICIPAL SECURITIES TRANSACTIONS TOTALING APPROXIMAT… | Final | $1.6M |
| 2023-11-16 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, MORGAN STANLEY SMITH BARNEY LLC (THE FIRM) CONSENTED TO SANCTIONS AND TO THE ENTRY OF FINDINGS THAT, FROM AUGUST 2020 TO OCTOBER 2022, IT FAILED TO DELIVER PROSPECTUSES TO CUSTOMERS ELECTING PAPER DELIVERY IN CONNECTION WITH 166,104 SALES OF 65 EXCHANGE-TRA… | Final | $400K |
| 2023-08-14 | regulatory | WITHOUT ADMITTING OR DENYING THAT ITS CONDUCT VIOLATED THE MAINE UNIFORM SECURITIES ACT (MUSA), MORGAN STANLEY SMITH BARNEY LLC (THE FIRM) CONSENTED TO THE ENTRY OF AN AGREEMENT WITH THE STATE OF MAINE OFFICE OF SECURITIES (MOS), WHICH ALLEGED THAT BY FAILING TO CONDUCT ON-SITE BRANCH INSPECTIONS OF… | Final | $5K |
| 2022-12-22 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, MORGAN STANLEY SMITH BARNEY LLC (THE FIRM) CONSENTED TO SANCTIONS AND TO THE ENTRY OF FINDINGS THAT, BETWEEN JANUARY 2015 AND DECEMBER 2021, ITS SUPERVISORY SYSTEM DID NOT PROVIDE CERTAIN CUSTOMERS WITH MUTUAL FUND SALES CHARGE WAIVERS AND FEE REBATES TO WH… | Final | — |
| 2022-11-21 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, MORGAN STANLEY SMITH BARNEY LLC (THE FIRM) CONSENTED TO SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REASONABLY SUPERVISE VIOLATIONS OF THE FIRM'S PLAN OF SOLICITATION POLICY BY CERTAIN REGISTERED REPRESENTATIVES, IN VIOLATION OF NASD RULE 3010… | Final | $200K |
| 2022-09-27 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ALLEGED, IN CONNECTION WITH THE BROKER-DEALER OFF-CHANNEL COMMUNICATIONS INITIATIVE, THAT MORGAN STANLEY SMITH BARNEY AND MORGAN STANLEY & CO. LLC (COLLECTIVELY, MORGAN STANLEY) FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO THE BUSIN… | Final | $125.0M |
| 2022-09-20 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, MORGAN STANLEY SMITH BARNEY LLC (THE FIRM) CONSENTED TO SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ADOPT WRITTEN POLICIES AND PROCEDURES THAT IDENTIFIED THE HIGH LEVEL OF RISK ASSOCIATED WITH THE DECOMMISSIONING OF DATA-BEARING FIRM DEVICES; F… | Final | $35.0M |