SEC
Whistleblower
Attorneys

September 30, 2020

Morgan Stanley & Co. LLC

Trading and Pricing

SANCTION AMOUNT: $5000000

Defendants: Morgan Stanley & Co. LLC

Respondent, one of financial services giant Morgan Stanley’s primary U.S. broker-dealer subsidiaries, agreed to settle charges that it violated Regulation SHO, the regulatory framework governing short sales, by establishing aggregation units to hedge its synthetic swap exposure that (i) were not independent and (ii) did not have separate trading strategies.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
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