morgan stanley & co. llcmorgan stanley & co. llc crd# 8209 sec# 8-15869 main office location 1585...

BrokerCheck Report

MORGAN STANLEY & CO. LLC

Section Title

Report Summary

Firm History

CRD# 8209

1

9

Firm Profile 2 - 8

Page(s)

Firm Operations 10 - 40

Disclosure Events 41

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CRD# 8209

SEC# 8-15869

Main Office Location

1585 BROADWAYNEW YORK, NY 10036-8293Regulated by FINRA New York Office

Mailing Address

100 SOUTH CHARLES STREET, 4TH FLOORC/O NORTH AMERICAN REGISTRATIONBALTIMORE, MD 21201

This firm is a brokerage firm and an investmentadviser firm. For more information aboutinvestment adviser firms, visit the SEC'sInvestment Adviser Public Disclosure website at:

Business Telephone Number

212-761-4000

https://www.adviserinfo.sec.gov

Report Summary for this Firm

This report summary provides an overview of the brokerage firm. Additional information for this firm can be foundin the detailed report.

Disclosure Events

Brokerage firms are required to disclose certaincriminal matters, regulatory actions, civil judicialproceedings and financial matters in which the firm orone of its control affiliates has been involved.

Are there events disclosed about this firm? Yes

The following types of disclosures have beenreported:

Type Count

Regulatory Event 423

Civil Event 5

Arbitration 52

Firm Profile

This firm is classified as a limited liability company.

This firm was formed in Delaware on 12/03/1969.

Its fiscal year ends in December.

Firm History

Information relating to the brokerage firm's historysuch as other business names and successions(e.g., mergers, acquisitions) can be found in thedetailed report.

Firm Operations

Is this brokerage firm currently suspended with anyregulator? No

This firm conducts 21 types of businesses.

This firm is affiliated with financial or investmentinstitutions.

This firm does not have referral or financialarrangements with other brokers or dealers.

This firm is registered with:

• the SEC• 24 Self-Regulatory Organizations• 53 U.S. states and territories

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This firm is classified as a limited liability company.

This firm was formed in Delaware on 12/03/1969.

CRD#

This section provides the brokerage firm's full legal name, "Doing Business As" name, business and mailingaddresses, telephone number, and any alternate name by which the firm conducts business and where such name isused.

Firm Profile

Firm Names and Locations

Its fiscal year ends in December.


SEC#

8209

8-15869

Main Office Location

Mailing Address

Business Telephone Number

Doing business as MORGAN STANLEY & CO. LLC

212-761-4000

Regulated by FINRA New York Office

1585 BROADWAYNEW YORK, NY 10036-8293

100 SOUTH CHARLES STREET, 4TH FLOORC/O NORTH AMERICAN REGISTRATIONBALTIMORE, MD 21201

Other Names of this Firm

Name Where is it used

MORGAN STANLEY AK, AL, AR, AZ, CA,CO, CT, DC, DE, FL,GA, HI, IA, ID, IL, IN,KS, KY, LA, MA, MD,ME, MI, MN, MO,MS, MT, NC, ND, NE,NH, NJ, NM, NV, NY,OH, OK, OR, PA, PR,RI, SC, SD, TN, TX,UT, VA, VT, WA, WI,WV, WY


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AK, AL, AR, AZ, CA,CO, CT, DC, DE, FL,GA, HI, IA, ID, IL, IN,KS, KY, LA, MA, MD,ME, MI, MN, MO,MS, MT, NC, ND, NE,NH, NJ, NM, NV, NY,OH, OK, OR, PA, PR,RI, SC, SD, TN, TX,UT, VA, VT, WA, WI,WV, WY


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This section provides information relating to all direct owners and executive officers of the brokerage firm.

Direct Owners and Executive Officers

Firm Profile

Position

Percentage of Ownership

Is this a public reportingcompany?

Position Start Date

Does this owner direct themanagement or policies ofthe firm?

MORGAN STANLEY DOMESTIC HOLDINGS INC.

MEMBER

75% or more

No

Domestic Entity

05/2011

Yes

Is this a domestic or foreignentity or an individual?

Legal Name & CRD# (if any):

Position



Position Start Date


ASSOMULL, MOHIT ASHOK

DIRECTOR

Less than 5%

No

Individual

02/2013

Yes

3103550



Position


Position Start Date

BERKE, MATTHEW EVAN

CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR

Less than 5%

Individual

11/2018

2524594






Direct Owners and Executive Officers (continued)

Firm Profile




Less than 5%

No

Yes

Position



Position Start Date


BLAINE, BELINDA ANNE

CHIEF COMPLIANCE OFFICER

Less than 5%

No

Individual

05/2019

Yes

5219964



Position



Position Start Date


DUNLEAVY, KEVIN BRIAN

TEXAS DESIGNATED PRINCIPAL

Less than 5%

No

Individual

02/2016

Yes

1009268



FAULKNER, JOHN H

2454537






Firm Profile

Position



Position Start Date


GENERAL COUNSEL AND SECRETARY

Less than 5%

No

Individual

06/2009

Yes

2454537


Position



Position Start Date


LYNN, GARY MICHAEL

PRINCIPAL FINANCIAL OFFICER

Less than 5%

No

Individual

01/2017

Yes

2162411



Position


Position Start Date


MCEVOY, GRAEME E

PRINCIPAL OPERATIONS OFFICER

Less than 5%

Individual

06/2010

Yes

5595318







Firm Profile



No

Yes

Position



Position Start Date


STERN, MICHAEL A

DIRECTOR

Less than 5%

No

Individual

02/2015

Yes

4939073



Position



Position Start Date


WIPF, THOMAS GEORGE

DIRECTOR

Less than 5%

No

Individual

07/2012

Yes

1559273






This section provides information relating to any indirect owners of the brokerage firm.

Indirect Owners

Firm Profile

MORGAN STANLEY

SHAREHOLDER

MORGAN STANLEY CAPITAL MANAGEMENT LLC

75% or more

Yes

Domestic Entity

02/2002

Yes



Company through whichindirect ownership isestablished

Relationship to Direct Owner

Relationship Established




MORGAN STANLEY CAPITAL MANAGEMENT LLC

SHAREHOLDER

MORGAN STANLEY DOMESTIC HOLDINGS INC.

75% or more

Yes

Domestic Entity

03/2007

Yes



Company through whichindirect ownership isestablished

Relationship to Direct Owner

Relationship Established







Firm History

This section provides information relating to any successions (e.g., mergers, acquisitions) involving the firm.

No information reported.




Firm Operations

RegistrationsThis section provides information about the regulators (Securities and Exchange Commission (SEC), self-regulatoryorganizations (SROs), and U.S. states and territories) with which the brokerage firm is currently registered andlicensed, the date the license became effective, and certain information about the firm's SEC registration.

This firm is currently registered with the SEC, 24 SROs and 53 U.S. states and territories.

SEC Registration Questions

This firm is registered with the SEC as:

A broker-dealer:

A broker-dealer and government securities broker or dealer:

A government securities broker or dealer only:

This firm has ceased activity as a government securities broker or dealer:

Yes

Yes

No

No

Federal Regulator Status Date Effective

SEC Approved 06/03/1970

Self-Regulatory Organization Status Date Effective

FINRA Approved 06/05/1970

BOX Exchange LLC Approved 05/07/2012

Cboe BYX Exchange, Inc. Approved 09/01/2010

Cboe BZX Exchange, Inc. Approved 10/23/2008

Cboe C2 Exchange, Inc. Approved 09/24/2010

Cboe EDGA Exchange, Inc. Approved 05/14/2010

Cboe EDGX Exchange, Inc. Approved 05/14/2010

Cboe Exchange, Inc. Approved 06/17/1981

Investors' Exchange LLC Approved 07/25/2016

Long-Term Stock Exchange, Inc. Approved 03/01/2020

MIAX Emerald, LLC Approved 03/01/2019

MIAX PEARL, LLC Approved 02/06/2017

Miami International Securities Exchange,LLC

Approved 12/07/2012

NYSE American LLC Approved 02/25/1988

NYSE Arca, Inc. Approved 07/29/1974




NYSE Chicago, Inc. Approved 07/17/1974

NYSE National, Inc. Approved 05/18/2018

Nasdaq BX, Inc. Approved 01/12/2009

Nasdaq GEMX, LLC Approved 07/29/2013

Nasdaq ISE, LLC Approved 05/01/2000

Nasdaq MRX, LLC Approved 02/10/2016

Nasdaq PHLX LLC Approved 06/03/1970

Nasdaq Stock Market Approved 07/12/2006

New York Stock Exchange Approved 11/17/1982


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Firm Operations

Registrations (continued)

U.S. States &Territories

Status Date Effective

Alabama Approved 10/24/1981

Alaska Approved 05/03/1977

Arizona Approved 03/11/1976

Arkansas Approved 03/27/1986

California Approved 06/05/1970

Colorado Approved 02/01/1983

Connecticut Approved 07/23/1970

Delaware Approved 10/06/1981

District of Columbia Approved 10/26/1976

Florida Approved 04/27/1983

Georgia Approved 09/21/1981

Hawaii Approved 01/01/1977

Idaho Approved 08/23/1977

Illinois Approved 03/11/1959

Indiana Approved 10/20/1981

Iowa Approved 07/14/1983

Kansas Approved 06/21/1978

Kentucky Approved 07/16/1982

Louisiana Approved 04/20/1983

Maine Approved 02/13/1984

Maryland Approved 10/03/1981

Massachusetts Approved 07/31/1981

Michigan Approved 02/02/1983

Minnesota Approved 07/15/1982

Mississippi Approved 10/14/1981

Missouri Approved 07/18/1983

Montana Approved 04/20/1983

Nebraska Approved 10/08/1981

Nevada Approved 07/18/1983

New Hampshire Approved 02/02/1983

New Jersey Approved 07/13/1983

New Mexico Approved 10/07/1981

New York Approved 03/20/1984

U.S. States &Territories

Status Date Effective

North Carolina Approved 07/15/1982

North Dakota Approved 10/21/1981

Ohio Approved 07/16/1982

Oklahoma Approved 07/17/1982

Oregon Approved 10/24/1981

Pennsylvania Approved 02/16/1971

Puerto Rico Approved 11/08/1985

Rhode Island Approved 02/01/1983

South Carolina Approved 10/28/1981

South Dakota Approved 07/15/1982

Tennessee Approved 08/17/1981

Texas Approved 07/25/1983

Utah Approved 04/21/1983

Vermont Approved 02/13/1984

Virgin Islands Approved 04/11/2005

Virginia Approved 09/22/1981

Washington Approved 04/20/1983

West Virginia Approved 09/30/1981

Wisconsin Approved 02/08/1980

Wyoming Approved 03/08/1978




Firm Operations

Types of BusinessThis section provides the types of business, including non-securities business, the brokerage firm is engaged in orexpects to be engaged in.

Other Types of Business

This firm does effect transactions in commodities, commodity futures, or commodity options.This firm does not engage in other non-securities business.

Non-Securities Business Description:

This firm currently conducts 21 types of businesses.

Types of Business

Exchange member engaged in exchange commission business other than floor activities

Exchange member engaged in floor activities

Broker or dealer making inter-dealer markets in corporation securities over-the-counter

Broker or dealer retailing corporate equity securities over-the-counter

Broker or dealer selling corporate debt securities

Underwriter or selling group participant (corporate securities other than mutual funds)

Mutual fund underwriter or sponsor

Mutual fund retailer

U S. government securities dealer

U S. government securities broker

Municipal securities dealer

Municipal securities broker

Broker or dealer selling variable life insurance or annuities

Solicitor of time deposits in a financial institution

Put and call broker or dealer or option writer

Broker or dealer selling tax shelters or limited partnerships in primary distributions

Broker or dealer selling tax shelters or limited partnerships in the secondary market

Trading securities for own account

Private placements of securities

Broker or dealer selling interests in mortgages or other receivables

Other - INVESTMENT BANKING -- INCLUDING UNDERWRITING PUBLIC OFFERINGS OF SECURITIES ANDMERGERS AND ACQUISITIONS ADVICE.




Firm Operations

Clearing Arrangements

This firm does hold or maintain funds or securities or provide clearing services for other broker-dealer(s).

Introducing Arrangements

This firm does not refer or introduce customers to other brokers and dealers.




Firm Operations

Industry Arrangements

This firm does not have books or records maintained by a third party.

This firm does not have accounts, funds, or securities maintained by a third party.

This firm does not have customer accounts, funds, or securities maintained by a third party.

This firm does not have individuals who control its management or policies through agreement.

This firm does not have individuals who wholly or partly finance the firm's business.

Control Persons/Financing




Firm Operations

Organization AffiliatesThis section provides information on control relationships the firm has with other firms in the securities, investmentadvisory, or banking business.

This firm is, directly or indirectly:

· in control of· controlled by· or under common control withthe following partnerships, corporations, or other organizations engaged in the securities or investmentadvisory business.

No

Yes

GERMANY

Yes

08/21/2017

JUNGHOFSTRASSE 13-15FRANKFURT, GERMANY 60311

MORGAN STANLEY EUROPE SE is under common control with the firm.

THIS ENTITY IS CONTROLLED BY MORGAN STANLEY, THE ULTIMATEPARENT OF THE APPLICANT.

Description:

Investment AdvisoryActivities:

Securities Activities:

Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

No

09/20/2017

ONE TOWER BRIDGE, 100 FRONT STREET, SUITE 400WEST CONSHOHOCKEN, PA 19428

TACTICAL III SLP LP is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:


TACTICAL II SLP LP is under common control with the firm.

Business Address:




Firm Operations

Organization Affiliates (continued)

Yes

No

No

10/26/2015



Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

No

08/03/2000

1585 BROADWAYNEW YORK, NY 10036

PEREGRINE INVESTMENTS, LLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

IRELAND

Yes

12/05/2017

THE OBSERVATORY, 7-11, SIR JOHN ROGERSON'S QUAYDUBLIN 2DUBLIN, IRELAND

MSIM FUND MANAGEMENT (IRELAND) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations

Organization Affiliates (continued)THIS ENTITY IS CONTROLLED BY MORGAN STANLEY, THE ULTIMATEPARENT OF THE APPLICANT.

Description:

Yes

Yes

No

02/02/2009


149777

MORGAN STANLEY is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

Yes

No

No

11/23/1994


MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II, INC. is under common control with thefirm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

JAPAN

Yes

02/10/1987

OTEMACHI FINANCIAL CITY SOUTH TOWER, 9-7OTEMACHI 1-CHOME, CHIYODA-KUTOKYO, JAPAN 100-8104

MORGAN STANLEY INVESTMENT MANAGEMENT (JAPAN) CO., LTD. is under common control with the firm.

Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


Yes

No

JAPAN


Description:



Country:

Yes

No

IRELAND

Yes

12/05/2017

THE OBSERVATORY, 7-11, SIR JOHN ROGERSON'S QUAYDUBLIN 2DUBLIN, IRELAND

MORGAN STANLEY INVESTMENT MANAGEMENT (IRELAND) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

AUSTRALIA

Yes

10/04/2006

LEVEL 53, 101 COLLINS STREETMELBOURNE, AUSTRALIA VIC 3000

MORGAN STANLEY INVESTMENT MANAGEMENT (AUSTRALIA) PTY LIMITED is under common control withthe firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

25 CABOT SQUARE, CANARY WHARFLONDON, UNITED KINGDOM E14 4QA

MORGAN STANLEY INVESTMENT MANAGEMENT (ACD) LIMITED is under common control with the firm.

Business Address:19©2020 FINRA. All rights reserved. Report about MORGAN STANLEY & CO. LLC



Firm Operations


Yes

No

UNITED KINGDOM

Yes

07/12/2001

25 CABOT SQUARE, CANARY WHARFLONDON, UNITED KINGDOM E14 4QA


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

INDIA

Yes

10/04/2007

18F, TOWER 2, ONE INDIABULLS CENTRE 841SENAPATI BAPAT MARGMUMBAI MAHARASHTRA, INDIA 400013

MORGAN STANLEY INDIA PRIMARY DEALER PRIVATE LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

INDIA

Yes

03/10/2008

18F, TOWER 2, ONE INDIABULLS CENTRE 841,SENAPATI BAPAT MARGMUMBAI MAHARASHTRA, INDIA 400013

MORGAN STANLEY INDIA FINANCIAL SERVICES PRIVATE LIMITED is under common control with the firm.



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


Yes


Description:


No

Yes

FRANCE

Yes

01/13/2017

61 RUE DE MONCEAUPARIS, FRANCE 75008

MORGAN STANLEY FRANCE S.A. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

JAPAN

Yes

03/06/1998

OTEMACHI FINANCIAL CITY SOUTH TOWER, 9-7OTEMACHI 1-CHOME, CHIYODA-KUTOKYO 100-8104, JAPAN

MORGAN STANLEY CAPITAL K.K. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

03/10/1989

LEVEL 39, CHIFLEY TOWER, 2 CHIFLEY SQUARESYDNEY NSW 2000, AUSTRALIA

MORGAN STANLEY AUSTRALIA LIMITED is under common control with the firm.

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


Yes

No

AUSTRALIA

Yes


Description:



Country:

Foreign Entity:

Yes

No

No

11/15/2000


MORGAN STANLEY ALTERNATIVE INVESTMENT PARTNERS LP is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

No

03/16/2018

11755 WILSHIRE BLVD, SUITE 2100LOS ANGELES, CA 90025

MESA WEST DSA, LLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:


FLINT CAPITAL PARTNERS SLP LTD is under common control with the firm.

Business Address:22©2020 FINRA. All rights reserved. Report about MORGAN STANLEY & CO. LLC



Firm Operations


Yes

No

No

05/19/2011



Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

No

12/10/2015

ONE TOWER BRIDGE, 100 NORTH FRONT STREETWEST CONSHOHOCKEN, PA

AIP OPPORTUNISTIC SECONDARIES I SLP LP is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

No

06/21/2018


AIP CRYSTAL-SMA I SLP LP is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


Description:

Yes

No

No

03/16/2018

11755 WILSHIRE BLVD, SUITE 2100LOS ANGELES, CA 90025

158959

MESA WEST CAPITAL is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

No

Yes

No

05/01/2019

50 TICE BOULEVARD, SUITE A-18WOODCLIFF LAKE, NJ 07677-7654

147933

SOLIUM FINANCIAL SERVICES LLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

Yes

11/06/2006

PART OF 20/F, WORLD TRADE CENTER 2JL. JENDERAL SUDIRMAN KAV. 29-31JAKARTA, INDONESIA

PT MORGAN STANLEY SEKURITAS INDONESIA is under common control with the firm.

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


No

Yes

INDONESIA

Yes


Description:



Country:

Foreign Entity:

No

Yes

RUSSIAN FEDERATION

Yes

06/08/2005

21 1-YA TVERSKAYA-YAMSKAYA125047MOSCOW, RUSSIAN FEDERATION

OOO MORGAN STANLEY BANK is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

AUSTRALIA

Yes

08/12/1985

LEVEL 39, CHIFLEY TOWER, 2 CHIFLEY SQUARESYDNEY NSW 2000, AUSTRALIA

MORGAN STANLEY WEALTH MANAGEMENT AUSTRALIA PTY LTD is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

207 TUN HWA SOUTH ROAD, SEC. 214TH & 22ND FLOORS, TAIPEI METROTAIPEI, TAIWAN

MORGAN STANLEY TAIWAN LIMITED is under common control with the firm.

Business Address:




Firm Operations


No

Yes

TAIWAN

Yes

10/02/2006

207 TUN HWA SOUTH ROAD, SEC. 214TH & 22ND FLOORS, TAIPEI METROTAIPEI, TAIWAN


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

SAUDI ARABIA

Yes

10/10/2006

AL MA'ATHER STREETAL RASHID TOWER, FLOOR 10RIYADH, SAUDI ARABIA 11586

MORGAN STANLEY SAUDI ARABIA is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

TURKEY

Yes

11/03/2006

ESENTEPE BUYUKDERE CADDESI NO:171METROCITY IS MERKEZI A BLOK KAT:24ISTANBUL, TURKEY

MORGAN STANLEY MENKUL DEGERLER A.S. is under common control with the firm.



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations

Organization Affiliates (continued)No


Description:


No

Yes

INDIA

Yes

06/10/1998

18F, TOWER 2, ONE INDIABULLS CENTRE 841SENAPATI BAPAT MARGMUMBAI, INDIA

MORGAN STANLEY INDIA COMPANY PRIVATE LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

SINGAPORE

Yes

09/29/2000

#16-01 CAPITAL SQUARE23 CHURCH STREETSINGAPORE, SINGAPORE

MORGAN STANLEY ASIA (SINGAPORE) SECURITIES PTE LTD is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

11/20/2007

C/SERRANO 5528006MADRID, SPAIN

MORGAN STANLEY S.V., S.A.U. is under common control with the firm.

Effective Date:

Business Address:




Firm Operations


No

Yes

SPAIN

Yes


Description:



Country:

Foreign Entity:

No

Yes

JAPAN

Yes

05/01/2010

OTEMACHI FINANCIAL CITY SOUTH TOWER9-7, OTEMACHI 1-CHOME, CHIYODA-KUTOKYO, JAPAN

MORGAN STANLEY MUFG SECURITIES CO., LTD. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

MEXICO

Yes

04/10/2008

PASEO DE LOS TAMARINDOS 90TORRE 1, PISO 29MEXICO CITY, MEXICO 05120

MORGAN STANLEY MEXICO, CASA DE BOLSA, S.A. DE C.V. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


Yes

No

No

06/01/2009

522 FIFTH AVENUENEW YORK, NY 10036

163747

MORGAN STANLEY SMITH BARNEY PRIVATE MANAGEMENT II LLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

Yes

No

No

02/08/2005


134366

MORGAN STANLEY PRIVATE EQUITY ASIA, INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

No

06/01/2009

2000 WESTCHESTER AVENUEPURCHASE, NY 10577

137463

CONSULTING GROUP ADVISORY SERVICES LLC is under common control with the firm.

Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:




Firm Operations


Yes

No


Description:



Country:

Yes

No

No

06/01/2009

485 LEXINGTON AVNEUE, 12TH FLOORNEW YORK, NY 10017

111386

MORGAN STANLEY SMITH BARNEY VENTURE SERVICES LLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

No

Yes

No

06/01/2009


SBHU LIFE AGENCY INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

138602

MSRESS III MANAGER, L.L.C. is under common control with the firm.

CRD #:30©2020 FINRA. All rights reserved. Report about MORGAN STANLEY & CO. LLC



Firm Operations


Yes

No

No

01/26/2006


138602


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

Yes

No

No

12/05/2006


142047

MSREF REAL ESTATE ADVISOR, INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

No

No

01/03/2005


133373

MSREF V, L.L.C. is under common control with the firm.


Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:




Firm Operations


Yes

No


Description:



Yes

Yes

No

03/31/2009

2000 WESTCHESTER AVENUENEW YORK, NY 10577

149777

MORGAN STANLEY is controlled by the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

Yes

No

No

08/04/2008

1585 BROADWAY34TH FLOORNEW YORK, NY 10036

MS CAPITAL PARTNERS ADVISER INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

1585 BROADWAY, 39TH FLOORNEW YORK, NY 10036

MORGAN STANLEY INFRASTRUCTURE INC. is under common control with the firm.

Business Address:




Firm Operations


Yes

No

No

04/04/2008



Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

BRAZIL

Yes

01/18/2001

AVENIDA BRIGADEIRO FARIA LIMA, 3600FLOOR 06SAO PAULO - SP, BRAZIL 04538-132

MORGAN STANLEY CORRETORA DE TITULOS E VALORES MOBILIARIOS S.A. is under common control withthe firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

08/23/2019

No

09/12/1990


MORGAN STANLEY EMERGING MARKETS INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations



Description:

No

Yes

HONG KONG

Yes

04/08/1988

30TH FLOOR, THREE EXCHANGE SQUARE8 CONNAUGHT PLACECENTRAL HONG KONG, HONG KONG N/A

MORGAN STANLEY HONG KONG SECURITIES LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

AUSTRALIA

Yes

03/10/1989

LEVEL 38, THE CHIFLEY TOWER2 CHIFLEY SQUARESYDNEY, AUSTRALIA NSW 2000

MORGAN STANLEY AUSTRALIA SECURITIES LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

03/09/1994

30TH FLOOR, THREE EXCHANGE SQUARE8 CONNAUGHT PLACECENTRAL HONG KONG, HONG KONG N/A

MORGAN STANLEY ASIA LIMITED is under common control with the firm.

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


No

Yes

HONG KONG

Yes


Description:



Country:

Foreign Entity:

No

Yes

SINGAPORE

Yes

12/21/1992

23 CHURCH STREET#16-01 CAPITAL SQUARESINGAPORE, SINGAPORE 049481

MORGAN STANLEY ASIA (SINGAPORE) PTE. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

CANADA

Yes

09/24/1982

181 BAY STREET, SUITE 3700PO BOX 776TORONTO, ONTARIO, CANADA M5J 2T3

MORGAN STANLEY CANADA LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

25 CABOT SQUARECANARY WHARF, UNITED KINGDOM E14 4QA

MORGAN STANLEY & CO. INTERNATIONAL PLC is under common control with the firm.

Business Address: 35©2020 FINRA. All rights reserved. Report about MORGAN STANLEY & CO. LLC



Firm Operations


No

Yes

UNITED KINGDOM

Yes

10/28/1986

25 CABOT SQUARECANARY WHARF, UNITED KINGDOM E14 4QA


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

No

05/31/1997


MORGAN STANLEY INSURANCE SERVICES INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

SWITZERLAND

Yes

08/08/1973

BAHNOFSTRASSE 92ZURICH, SWITZERLAND 8023

BANK MORGAN STANLEY AG is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


Description:

Yes

No

No

10/07/2003


MORGAN STANLEY REAL ESTATE ADVISOR, INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

No

11/17/2000

1585 BROADWAY, REAL ESTATE FUNDS, 37TH FLOORNEW YORK, NY 10036

MSREF IV, L.L.C. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

SINGAPORE

Yes

06/05/1990

80 RAFFLES PLACE, UOB PLAZA 1, UNIT 4201SINGAPORE, SINGAPORE 04862

MORGAN STANLEY INVESTMENT MANAGEMENT COMPANY is under common control with the firm.



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


Yes


Description:


Yes

No

No

12/17/2001

ONE TOWER BRIDGE100 FRONT STREET, SUITE 100WEST CONSHOHOCKEN, PA 19428

MORGAN STANLEY AIP GP LP is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

No

01/03/1996

ONE TOWER BRIDGEWEST CONSHOHOCKEN, PA 19426

30344

MORGAN STANLEY DISTRIBUTION, INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:


36142

PRIME DEALER SERVICES CORP. is controlled by the firm.

Business Address:

CRD #:




Firm Operations


No

Yes

No

01/26/1994



Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

ENGLAND

Yes

01/22/1986

24 CABOT SQUARECANARY WHARFLONDON, ENGLAND E14 4QA

MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

No

09/19/1980

1221 AVENUE OF THE AMERICASNEW YORK, NY 10020

MORGAN STANLEY INVESTMENT MANAGEMENT INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


Description:

This firm is directly or indirectly, controlled by the following:

· bank holding company· national bank· state member bank of the Federal Reserve System· state non-member bank· savings bank or association· credit union· or foreign bank

Effective Date:

Business Address:

Description: THIS ENTITY IS CONTROLLED BY MORGAN STANLEY, AN ULTIMATE PARENTOF THE APPLICANT.

MORGAN STANLEY PRIVATE BANK, NATIONAL ASSOCIATION is a National Bank and controls the firm.

08/09/1996


Effective Date:

Business Address:

Description: THIS ENTITY IS CONTROLLED BY MORGAN STANLEY, AN ULTIMATE PARENTOF THE APPLICANT.

MORGAN STANLEY BANK, N.A. is a National Bank and controls the firm.

05/18/1990

201 MAIN STREET, 5TH FLOORSALT LAKE CITY, UT 84111

Effective Date:

Business Address:

Description: MORGAN STANLEY & CO INCORPORATED IS A WHOLLY OWNEDSUBSIDIARY OF THE PARENT COMPANY, MORGAN STANLEY.

MORGAN STANLEY is a Bank Holding Company and controls the firm.

09/23/2008





Disclosure Events

All firms registered to sell securities or provide investment advice are required to disclose regulatory actions, criminal orcivil judicial proceedings, and certain financial matters in which the firm or one of its control affiliates has been involved.For your convenience, below is a matrix of the number and status of disclosure events involving this brokerage firm orone of its control affiliates. Further information regarding these events can be found in the subsequent pages of thisreport.

Final On AppealPending

Regulatory Event 0 423 0

Civil Event 0 5 0

Arbitration N/A 52 N/A




Disclosure Event Details

What you should know about reported disclosure events:

1. BrokerCheck provides details for any disclosure event that was reported in CRD. It also includessummary information regarding FINRA arbitration awards in cases where the brokerage firm wasnamed as a respondent.

2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a brokerage firm is required to disclose a

particular criminal event.3. Disclosure events in BrokerCheck reports come from different sources:

o Disclosure events for this brokerage firm were reported by the firm and/or regulators. When the firmand a regulator report information for the same event, both versions of the event will appear in theBrokerCheck report. The different versions will be separated by a solid line with the reporting sourcelabeled.

4. There are different statuses and dispositions for disclosure events: o A disclosure event may have a status of pending, on appeal, or final.

§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently

being appealed.§ A "final" event has been concluded and its resolution is not subject to change.

o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter,

or (2) an administrative panel in an action brought by a regulator that is contested by the partycharged with some alleged wrongdoing.

§ A "settled" matter generally involves an agreement by the parties to resolve the matter.Please note that firms may choose to settle customer disputes or regulatory matters forbusiness or other reasons.

§ A "resolved" matter usually involves no payment to the customer and no finding ofwrongdoing on the part of the individual broker. Such matters generally involve customerdisputes.

5. You may wish to contact the brokerage firm to obtain further information regarding any of thedisclosure events contained in this BrokerCheck report.

Regulatory - Final

This type of disclosure event involves (1) a final, formal proceeding initiated by a regulatory authority (e.g., a statesecurities agency, self-regulatory organization, federal regulator such as the U.S. Securities and Exchange Commission,foreign financial regulatory body) for a violation of investment-related rules or regulations; or (2) a revocation orsuspension of the authority of a brokerage firm or its control affiliate to act as an attorney, accountant or federalcontractor.

Disclosure 1 of 423

Reporting Source: Firm

Allegations: THE MARKET REGULATION DEPARTMENT OF THE CME GROUP FOUNDTHAT ON TRADE DATE FEBRUARY 28, 2020, THE FIRM UNDER-REPORTEDLONG POSITIONS ELIGIBLE FOR DELIVERY IN THE MARCH 2020 CBTROUGH RICE FUTURES CONTRACT.

Current Status: Final




Initiated By: CME GROUP

Principal Sanction(s)/ReliefSought:

Other

Other Sanction(s)/ReliefSought:

SUMMARY FINE.

Date Initiated: 03/16/2020

Docket/Case Number: RSRH-20-5774 20

Principal Product Type: No Product

Other Product Type(s):

Allegations: THE MARKET REGULATION DEPARTMENT OF THE CME GROUP FOUNDTHAT ON TRADE DATE FEBRUARY 28, 2020, THE FIRM UNDER-REPORTEDLONG POSITIONS ELIGIBLE FOR DELIVERY IN THE MARCH 2020 CBTROUGH RICE FUTURES CONTRACT.

Resolution Date: 04/15/2020

Resolution:

Other Sanctions Ordered:

Sanction Details: THE FINE OF $1,500 WILL BE PAID ON OR BEFORE APRIL 30, 2020.

Firm Statement ON APRIL 15, 2020, MORGAN STANLEY & CO. LLC CONSENTED TO A FINEOF $1,500 BY THE MARKET REGULATION DEPARTMENT OF THE CMEGROUP IN CONNECTION WITH ALLEGATIONS THAT ON TRADE DATEFEBRUARY 28, 2020, THE FIRM UNDER-REPORTED LONG POSITIONSELIGIBLE FOR DELIVERY IN THE MARCH 2020 CBT ROUGH RICE FUTURESCONTRACT IN VIOLATION OF CME RULE 807.

Sanctions Ordered: Monetary/Fine $1,500.00

Other

Disclosure 2 of 423

i

Reporting Source: Regulator

Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTEDTO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT ITERRONEOUSLY SUBMITTED REPORTS TO OATS THAT IT WAS NOTREQUIRED TO REPORT AND SUBMITTED REPORTS TO OATS WITHINACCURATE DATA. THE FINDINGS STATED THAT THE FIRM'SCONVERTIBLE BOND, PROGRAM AND SWAP TRADING DESKSIMPLEMENTED PROGRAMMING LOGIC THAT CAUSED ITS SYSTEM TOINCORRECTLY REPORT A CANCEL/REPLACE (CR) REPORT TO OATS ANYTIME A NON-MATERIAL CHANGE WAS MADE TO A CUSTOMER ORDER. THEFIRM BEGAN IMPLEMENTING A SERIES OF FIXES TO ITS OATS REPORTINGLOGIC AND FULLY REMEDIATED ITS OVER-REPORTING ISSUE. INTERNALUPDATES TO AN ALGORITHM THAT ROUTED ORDERS TO THE FIRM'SALTERNATIVE TRADING SYSTEM (ATS) RESULTED IN CR REPORTS BEINGUNNECESSARILY REPORTED TO OATS. THE FIRM IMPLEMENTED LOGICSPECIFIC TO TWO NEW SYSTEMS THAT CAUSED IT TO OVER-REPORT CRREPORTS. THE FIRM RESOLVED THIS ISSUE. THE PROGRAMMING CHANGETO THE FIRM'S ATS ALSO RESULTED IN ORDER EVENTS BEING REPORTEDTO OATS OUT OF SEQUENCE. THE OATS REPORTING LOGIC USED TOSUBMIT THIS ORDER FLOW INADVERTENTLY GENERATED INCORRECTTIMESTAMPS FOR ORDER MODIFICATIONS THAT IN TURN CAUSED THESUBSEQUENT ROUTE REPORTS TO BE INCORRECTLY REPORTED WITHTHE ORDER IDENTIFIER OF THE ORIGINAL ORDER INSTEAD OF THE NEWORDER IDENTIFIER GENERATED BY THE CR REPORT. THEIMPLEMENTATION OF FAULTY PROGRAMMING LOGIC CAUSED THEPROGRAM TRADING DESK TO REPORT THE SELLER OPTION SPECIALHANDLING CODE INSTEAD OF THE NEXT DAY OR SAME DAY SPECIALHANDLING CODES. THIS ERRONEOUS LOGIC IMPACTED NEW ORDERREPORTS. THE FIRM IMPLEMENTED ERRONEOUS LOGIC THAT RESULTEDIN THE FAILURE OF ITS PROGRAM TRADING AND CASH TRADING DESKSTO SUBMIT THE COUNTER PARTY RESTRICTION SPECIAL HANDLING CODEON NEW ORDER REPORTS. THE FIRM CORRECTED THE LOGIC. THEFINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH ASUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TOACHIEVE COMPLIANCE WITH ITS OATS REPORTING OBLIGATIONS. THEFIRM'S SUPERVISORY SYSTEM, INCLUDING ITS WSPS, DID NOT INCLUDE AREVIEW FOR REPORTING VIOLATIONS THAT COULD ONLY BE IDENTIFIEDFROM A COMPARISON TO ITS BOOKS AND RECORDS. THE FIRM'SSUPERVISORY REVIEWS WOULD NOT HAVE IDENTIFIED INSTANCESWHERE IT EITHER OVER OR UNDER-REPORTED DATA TO OATS ORREPORTED INCORRECT TIMESTAMPS OR SPECIAL HANDLING CODES TOOATS.





Initiated By: FINRA




Docket/Case Number: 2015044226501

Principal Product Type: No Product


WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTEDTO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT ITERRONEOUSLY SUBMITTED REPORTS TO OATS THAT IT WAS NOTREQUIRED TO REPORT AND SUBMITTED REPORTS TO OATS WITHINACCURATE DATA. THE FINDINGS STATED THAT THE FIRM'SCONVERTIBLE BOND, PROGRAM AND SWAP TRADING DESKSIMPLEMENTED PROGRAMMING LOGIC THAT CAUSED ITS SYSTEM TOINCORRECTLY REPORT A CANCEL/REPLACE (CR) REPORT TO OATS ANYTIME A NON-MATERIAL CHANGE WAS MADE TO A CUSTOMER ORDER. THEFIRM BEGAN IMPLEMENTING A SERIES OF FIXES TO ITS OATS REPORTINGLOGIC AND FULLY REMEDIATED ITS OVER-REPORTING ISSUE. INTERNALUPDATES TO AN ALGORITHM THAT ROUTED ORDERS TO THE FIRM'SALTERNATIVE TRADING SYSTEM (ATS) RESULTED IN CR REPORTS BEINGUNNECESSARILY REPORTED TO OATS. THE FIRM IMPLEMENTED LOGICSPECIFIC TO TWO NEW SYSTEMS THAT CAUSED IT TO OVER-REPORT CRREPORTS. THE FIRM RESOLVED THIS ISSUE. THE PROGRAMMING CHANGETO THE FIRM'S ATS ALSO RESULTED IN ORDER EVENTS BEING REPORTEDTO OATS OUT OF SEQUENCE. THE OATS REPORTING LOGIC USED TOSUBMIT THIS ORDER FLOW INADVERTENTLY GENERATED INCORRECTTIMESTAMPS FOR ORDER MODIFICATIONS THAT IN TURN CAUSED THESUBSEQUENT ROUTE REPORTS TO BE INCORRECTLY REPORTED WITHTHE ORDER IDENTIFIER OF THE ORIGINAL ORDER INSTEAD OF THE NEWORDER IDENTIFIER GENERATED BY THE CR REPORT. THEIMPLEMENTATION OF FAULTY PROGRAMMING LOGIC CAUSED THEPROGRAM TRADING DESK TO REPORT THE SELLER OPTION SPECIALHANDLING CODE INSTEAD OF THE NEXT DAY OR SAME DAY SPECIALHANDLING CODES. THIS ERRONEOUS LOGIC IMPACTED NEW ORDERREPORTS. THE FIRM IMPLEMENTED ERRONEOUS LOGIC THAT RESULTEDIN THE FAILURE OF ITS PROGRAM TRADING AND CASH TRADING DESKSTO SUBMIT THE COUNTER PARTY RESTRICTION SPECIAL HANDLING CODEON NEW ORDER REPORTS. THE FIRM CORRECTED THE LOGIC. THEFINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH ASUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TOACHIEVE COMPLIANCE WITH ITS OATS REPORTING OBLIGATIONS. THEFIRM'S SUPERVISORY SYSTEM, INCLUDING ITS WSPS, DID NOT INCLUDE AREVIEW FOR REPORTING VIOLATIONS THAT COULD ONLY BE IDENTIFIEDFROM A COMPARISON TO ITS BOOKS AND RECORDS. THE FIRM'SSUPERVISORY REVIEWS WOULD NOT HAVE IDENTIFIED INSTANCESWHERE IT EITHER OVER OR UNDER-REPORTED DATA TO OATS ORREPORTED INCORRECT TIMESTAMPS OR SPECIAL HANDLING CODES TOOATS.


http://www.finra.org/brokercheckhttp://www.finra.org/brokercheck_reportshttp://www.finra.orghttps://www.finra.org/rules-guidance/oversight-enforcement/finra-disciplinary-actions?search=2015044226501




Resolution:

Other Sanctions Ordered: UNDERTAKING

Sanction Details: THE FIRM WAS CENSURED, FINED $300,000, AND REQUIRED TO REVISEITS WSPS.

Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?

No

Sanctions Ordered: CensureMonetary/Fine $300,000.00

Acceptance, Waiver & Consent(AWC)

Disclosure 3 of 423

i


Initiated By: NYSE AMERICAN LLC



Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTEDTO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TOACCURATELY RECORD THE ORDER RECEIPT AND ORDER TRANSMISSIONTIMES, AND THE ACCURATE EXCHANGE OF EXECUTION, OF MANUALOPTIONS ORDERS IT HAD ROUTED TO NYSE AMERICAN AND VARIOUSOTHER NATIONAL SECURITIES EXCHANGES FOR EXECUTION. THE FIRMALSO FAILED TO ACCURATELY RECORD THE EXCHANGE OF EXECUTIONOF FACILITATION ORDERS. THE FIRM ALSO FAILED TO ESTABLISH,MAINTAIN AND ENFORCE WSPS AND A SYSTEM OF SUPERVISION THATWERE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THEAPPLICABLE FEDERAL SECURITIES LAWS AND NYSE AMERICAN RULESTHAT REQUIRE THE ACCURATE DOCUMENTATION OF THE ORDER RECEIPTAND TRANSMISSION TIMES, AND EXCHANGE OF EXECUTION, OF OPTIONSORDERS. THE FIRM'S WSPS AND SUPERVISORY SYSTEM DID NOTINCLUDE A SUPERVISORY REVIEW OF THE ACCURACY OF ORDERRECEIPT AND ORDER TRANSMISSION TIMES OF OPTIONS ORDERSHANDLED BY THE FIRM'S DERIVATIVES TRADING DESK.








Principal Product Type: Options



Resolution:


Sanction Details: THE FIRM WAS CENSURED, FINED $120,000, OF WHICH $40,000 SHALL BEPAID TO THE EXCHANGE AND REQUIRED TO ADDRESS THE DEFICIENCIESDISCUSSED IN THE AWC WITHIN 60 DAYS. THE BALANCE OF THE FINESHALL BE PAID TO NASDAQ PHLX LLC AND NYSE ARCA, INC. ACCEPTANCEOF THIS AWC IS CONDITIONED UPON ACCEPTANCE OF SIMILARSETTLEMENT AGREEMENTS IN RELATED MATTERS BETWEEN THE FIRMAND NASDAQ PHLX LLC AND NYSE ARCA, INC.


No



iReporting Source: Firm

Allegations: NYSE AMERICAN LLC ("NYSE AMERICAN") ALLEGED THAT FROM JULY 17,2017 THROUGH JULY 21, 2017, MORGAN STANLEY & CO. LLC (THE "FIRM")FAILED TO RECORD ACCURATE ORDER RECEIPT AND TRANSMISSIONTIMES AND EXCHANGE OF EXECUTION FOR MANUAL OPTIONS ORDERSROUTED TO VARIOUS OPTIONS EXCHANGES, INCLUDING NYSEAMERICAN, IN VIOLATION OF RULE 17A-3(A)(6)(I) OF THE SECURITIESEXCHANGE ACT OF 1934 AND NYSE AMERICAN RULE 956Y. NYSEAMERICAN ALSO ALLEGED THAT THE FIRM VIOLATED NYSE AMERICANRULE 320 BY FAILING TO ESTABLISH, MAINTAIN AND ENFORCE WRITTENSUPERVISORY PROCEDURES AND A SUPERVISORY SYSTEM THAT WEREREASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THERECORDKEEPING PROVISIONS OF THE FEDERAL SECURITIES LAWS ANDNYSE AMERICAN RULES.





Initiated By: NYSE AMERICAN LLC


Civil and Administrative Penalt(ies) /Fine(s)




Principal Product Type: Other

Other Product Type(s): EXCHANGE-TRADED OPTIONS

NYSE AMERICAN LLC ("NYSE AMERICAN") ALLEGED THAT FROM JULY 17,2017 THROUGH JULY 21, 2017, MORGAN STANLEY & CO. LLC (THE "FIRM")FAILED TO RECORD ACCURATE ORDER RECEIPT AND TRANSMISSIONTIMES AND EXCHANGE OF EXECUTION FOR MANUAL OPTIONS ORDERSROUTED TO VARIOUS OPTIONS EXCHANGES, INCLUDING NYSEAMERICAN, IN VIOLATION OF RULE 17A-3(A)(6)(I) OF THE SECURITIESEXCHANGE ACT OF 1934 AND NYSE AMERICAN RULE 956Y. NYSEAMERICAN ALSO ALLEGED THAT THE FIRM VIOLATED NYSE AMERICANRULE 320 BY FAILING TO ESTABLISH, MAINTAIN AND ENFORCE WRITTENSUPERVISORY PROCEDURES AND A SUPERVISORY SYSTEM THAT WEREREASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THERECORDKEEPING PROVISIONS OF THE FEDERAL SECURITIES LAWS ANDNYSE AMERICAN RULES.


Resolution:

Other Sanctions Ordered: UNDERTAKING REQUIRING THE FIRM TO ADDRESS THE ALLEGEDDEFICIENCIES DESCRIBED IN ITEM 7.

Sanction Details: THE $40,000 FINE WITH BE PAID FORTH WITH.

Firm Statement ON FEBRUARY 18, 2020, MORGAN STANLEY & CO. LLC (THE "FIRM")BECAME THE SUBJECT OF A LETTER OF ACCEPTANCE, WAIVER ANDCONSENT ("AWC") ISSUED BY NYSE AMERICAN REGARDING ALLEGATIONSTHAT (1) FROM JULY 17, 2017 THROUGH JULY 21, 2017, THE FIRM FAILEDTO RECORD ACCURATE ORDER RECEIPT AND TRANSMISSION TIMES FORMANUAL CUSTOMER OPTIONS ORDERS ROUTED TO VARIOUS OPTIONSEXCHANGES, INCLUDING NYSE AMERICAN, IN VIOLATION OF RULE 17A-3(A)(6)(I) OF THE SECURITIES EXCHANGE ACT OF 1934 AND NYSEAMERICAN RULE 956Y, AND (2) IN VIOLATION OF NYSE AMERICAN RULE320, THE FIRM FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTENSUPERVISORY PROCEDURES AND A SUPERVISORY SYSTEM THAT WEREREASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THERECORDKEEPING PROVISIONS OF THE FEDERAL SECURITIES LAWS ANDNYSE AMERICAN RULES. WITHOUT ADMITTING OR DENYING THEUNDERLYING ALLEGATIONS AND WITHOUT ADJUDICATION OF ANY ISSUEOF LAW OR FACT, THE FIRM ACCEPTED AND CONSENTED TO FINDINGSAND THE IMPOSITION OF A CENSURE, FINE OF $40,000 AND UNDERTAKINGTO ADDRESS THE ALLEGED DEFICIENCIES.






Disclosure 4 of 423

i


Initiated By: NYSE ARCA, INC.







Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTEDTO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TOACCURATELY RECORD THE ORDER RECEIPT AND ORDER TRANSMISSIONTIMES, AND THE ACCURATE EXCHANGE OF EXECUTION, OF MANUALOPTIONS ORDERS IT HAD ROUTED TO NYSE ARCA AND VARIOUS OTHERNATIONAL SECURITIES EXCHANGES FOR EXECUTION. THE FIRM ALSOFAILED TO ACCURATELY RECORD THE EXCHANGE OF EXECUTION OFFACILITATION ORDERS. THE FIRM ALSO FAILED TO ESTABLISH, MAINTAINAND ENFORCE WSPS AND A SYSTEM OF SUPERVISION THAT WEREREASONABLY DESIGNED TO ENSURE COMPLIANCE WITH THE APPLICABLEFEDERAL SECURITIES LAWS AND NYSE ARCA RULES THAT REQUIRE THEACCURATE DOCUMENTATION OF THE ORDER RECEIPT ANDTRANSMISSION TIMES, AND EXCHANGE OF EXECUTION, OF OPTIONSORDERS. THE FIRM'S WSPS AND SUPERVISORY SYSTEM DID NOTINCLUDE A SUPERVISORY REVIEW OF THE ACCURACY OF ORDERRECEIPT AND ORDER TRANSMISSION TIMES OF OPTIONS ORDERSHANDLED BY THE FIRM'S DERIVATIVES TRADING DESK.



Resolution:


No






Sanction Details: THE FIRM WAS CENSURED, FINED $120,000, OF WHICH $40,000 SHALL BEPAID TO THE EXCHANGE AND REQUIRED TO ADDRESS THE DEFICIENCIESDISCUSSED IN THE AWC WITHIN 60 DAYS. THE BALANCE OF THE FINESHALL BE PAID TO NASDAQ PHLX LLC AND NYSE AMERICAN LLC.ACCEPTANCE OF THIS AWC IS CONDITIONED UPON ACCEPTANCE OFSIMILAR SETTLEMENT AGREEMENTS IN RELATED MATTERS BETWEEN THEFIRM AND NASDAQ PHLX LLC AND NYSE AMERICAN LLC.


No


iReporting Source: Firm

Initiated By: NYSE ARCA, INC.


Civil and Administrative Penalt(ies) /Fine(s)




Principal Product Type: Other

Other Product Type(s): EXCHANGE-TRADED OPTIONS

Allegations: NYSE ARCA, INC. ("NYSE ARCA") ALLEGED THAT FROM JULY 17, 2017THROUGH JULY 21, 2017, MORGAN STANLEY & CO. LLC (THE "FIRM")FAILED TO RECORD ACCURATE ORDER RECEIPT AND TRANSMISSIONTIMES AND EXCHANGE OF EXECUTION FOR MANUAL OPTIONS ORDERSROUTED TO VARIOUS OPTIONS EXCHANGES, INCLUDING NYSE ARCA, INVIOLATION OF RULE 17A-3(A)(6)(I) OF THE SECURITIES EXCHANGE ACT OF1934 AND NYSE ARCA RULE 6.68. NYSE ARCA ALSO ALLEGED THAT THEFIRM VIOLATED NYSE ARCA RULE 11.18 BY FAILING TO ESTABLISH,MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES AND ASUPERVISORY SYSTEM THAT WERE REASONABLY DESIGNED TO ACHIEVECOMPLIANCE WITH THE RECORDKEEPING PROVISIONS OF THE FEDERALSECURITIES LAWS AND NYSE ARCA RULES.







Resolution:

Other Sanctions Ordered: UNDERTAKING REQUIRING THE FIRM TO ADDRESS THE ALLEGEDDEFICIENCIES DESCRIBED IN ITEM 7.

Sanction Details: THE $40,000 FINE WITH BE PAID FORTH WITH.

Firm Statement ON FEBRUARY 18, 2020, MORGAN STANLEY & CO. LLC (THE "FIRM")BECAME THE SUBJECT OF A LETTER OF ACCEPTANCE, WAIVER ANDCONSENT ("AWC") ISSUED BY NYSE ARCA REGARDING ALLEGATIONS THAT(1) FROM JULY 17, 2017 THROUGH JULY 21, 2017, THE FIRM FAILED TORECORD ACCURATE ORDER RECEIPT AND TRANSMISSION TIMES FORMANUAL CUSTOMER OPTIONS ORDERS ROUTED TO VARIOUS OPTIONSEXCHANGES, INCLUDING NYSE ARCA, IN VIOLATION OF RULE 17A-3(A)(6)(I)OF THE SECURITIES EXCHANGE ACT OF 1934 AND NYSE ARCA RULE 6.68,AND (2) IN VIOLATION OF NYSE AMERICAN ARCA RULE 11.18, THE FIRMFAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN SUPERVISORYPROCEDURES AND A SUPERVISORY SYSTEM THAT WERE REASONABLYDESIGNED TO ACHIEVE COMPLIANCE WITH THE RECORDKEEPINGPROVISIONS OF THE FEDERAL SECURITIES LAWS AND NYSE ARCA RULES.WITHOUT ADMITTING OR DENYING THE UNDERLYING ALLEGATIONS ANDWITHOUT ADJUDICATION OF ANY ISSUE OF LAW OR FACT, THE FIRMACCEPTED AND CONSENTED TO FINDINGS AND THE IMPOSITION OF ACENSURE, FINE OF $40,000 AND UNDERTAKING TO ADDRESS THEALLEGED DEFICIENCIES.



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Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTEDTO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TOACCURATELY RECORD THE ORDER RECEIPT AND ORDER TRANSMISSIONTIMES, AND THE ACCURATE EXCHANGE OF EXECUTION, OF MANUALOPTIONS ORDERS IT HAD ROUTED TO PHLX AND VARIOUS OTHERNATIONAL SECURITIES EXCHANGES FOR EXECUTION. THE FIRM ALSOFAILED TO ACCURATELY RECORD THE EXCHANGE OF EXECUTION OFFACILITATION ORDERS. THE FIRM ALSO FAILED TO ESTABLISH, MAINTAINAND ENFORCE WSPS AND A SYSTEM OF SUPERVISION THAT WEREREASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH, AND TO DETECTAND PREVENT VIOLATIONS OF, THE APPLICABLE FEDERAL SECURITIESLAWS AND PHLX RULES THAT REQUIRE THE ACCURATE DOCUMENTATIONOF THE ORDER RECEIPT AND TRANSMISSION TIMES, AND EXCHANGE OFEXECUTION, OF OPTIONS ORDERS. THE FIRM'S WSPS AND SUPERVISORYSYSTEM DID NOT INCLUDE A SUPERVISORY REVIEW OF THE ACCURACYOF ORDER RECEIPT AND ORDER TRANSMISSION TIMES OF OPTIONSORDERS HANDLED BY THE FIRM'S DERIVATIVES TRADING DESK.





Initiated By: NASDAQ PHLX LLC







WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTEDTO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TOACCURATELY RECORD THE ORDER RECEIPT AND ORDER TRANSMISSIONTIMES, AND THE ACCURATE EXCHANGE OF EXECUTION, OF MANUALOPTIONS ORDERS IT HAD ROUTED TO PHLX AND VARIOUS OTHERNATIONAL SECURITIES EXCHANGES FOR EXECUTION. THE FIRM ALSOFAILED TO ACCURATELY RECORD THE EXCHANGE OF EXECUTION OFFACILITATION ORDERS. THE FIRM ALSO FAILED TO ESTABLISH, MAINTAINAND ENFORCE WSPS AND A SYSTEM OF SUPERVISION THAT WEREREASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH, AND TO DETECTAND PREVENT VIOLATIONS OF, THE APPLICABLE FEDERAL SECURITIESLAWS AND PHLX RULES THAT REQUIRE THE ACCURATE DOCUMENTATIONOF THE ORDER RECEIPT AND TRANSMISSION TIMES, AND EXCHANGE OFEXECUTION, OF OPTIONS ORDERS. THE FIRM'S WSPS AND SUPERVISORYSYSTEM DID NOT INCLUDE A SUPERVISORY REVIEW OF THE ACCURACYOF ORDER RECEIPT AND ORDER TRANSMISSION TIMES OF OPTIONSORDERS HANDLED BY THE FIRM'S DERIVATIVES TRADING DESK.


Resolution:


Sanction Details: THE FIRM WAS CENSURED, FINED $120,000, OF WHICH $40,000 SHALL BEPAID TO THE EXCHANGE AND REQUIRED TO ADDRESS THE DEFICIENCIESIN THE AWC WITHIN 60 DAYS. THE BALANCE OF THE FINE SHALL BE PAIDTO NYSE ARCA, INC. AND NYSE AMERICAN LLC. ACCEPTANCE OF THE AWCIS CONDITIONED UPON ACCEPTANCE OF SIMILAR SETTLEMENTAGREEMENTS IN RELATED MATTERS BETWEEN THE FIRM AND NYSEARCA, INC. AND NYSE AMERICAN LLC.


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