X0405 TA-1/A 0001413398 XXXXXXXX 084-06270 true LIVE SEC Morgan Stanley Services Co Inc. Morgan Stanley Services CO Inc. 334474 522 Fifth Avenue New York NY 10036 N 212-537-2820 N N N N Corporation Matthew Paul Martin 06/01/2008 Director, President and CEO NA true 02/27/2019 Joseph Patrick Pollaro 06/01/2008 Managing Director and COO NA true 07/01/2010 Richard Charlino 06/01/2008 Executive Director, Chief Tech. Officer NA 06/01/2010 Gina Gallagher 06/01/2008 Executive Director, AML Officer NA true 08/07/2013 Robert Henry Serafin 06/01/2008 Executive Director NA true 05/02/2014 Evan Andrew Gordon 10/17/2007 Vice President, Chief Compliance Officer NA true 03/05/2010 Lisa Lee Gray 10/17/2007 Vice President, Compliance Officer NA true 06/01/2010 Keraya Sherie Jefferson 09/28/2007 Executive Director, CCO NA true 08/15/2014 Edward Meehan 09/28/2007 Executive Director, Assistant Secretary NA true 02/06/2017 Brian Drummond 06/01/2008 Executive Director NA true 06/01/2010 Laurie Jones 06/01/2008 Executive Director NA true 06/01/2010 Mario A Furlan 06/01/2008 Executive Director NA true 07/25/2016 Randy Takian 06/01/2008 Managing Director NA 10/31/2010 Amy R. Doberman 02/06/2006 Managing Director, Secretary NA true 04/03/2009 Kenneth Castiglia 12/15/2005 Managing Director, Treasurer NA true 02/09/2009 Stefanie Chang Yu 09/29/2003 Managing Director, Assistant Secretary NA true 01/07/2014 Mary Ann Fappiano 01/23/2006 Managing Director, Assistant Treasurer NA true 10/01/2008 James Garrett 12/01/2006 Managing Director, Director NA true 05/07/2010 Walter Rein 12/01/2004 Managing Director NA true 05/16/2014 Francis Smith 12/15/2005 Managing Director, Assistant Treasurer NA true Norman Jones 12/15/2005 Executive Director NA true 12/28/2012 Eric Marmoll 12/01/2006 Executive Director NA true 02/28/2011 Bruce Sandberg 11/04/2003 Executive Director NA true 02/02/2012 Martha Slezak 12/15/2005 Vice President, Assistant Treasurer NA true 03/27/2009 Stuart Smith 12/15/2005 Vice President, Assistant Treasurer NA true 01/19/2012 Mark Patten 06/16/2009 Managing Director, Treasurer NA true 08/06/2010 Arthur Lev 08/06/2010 Managing Director NA true 04/16/2015 Paul Julius 08/06/2010 Managing Director, CFO, Treasurer NA true 11/28/2011 Sara Furber 08/06/2010 Managing Director NA true 06/08/2011 Edmond Moriarty 08/06/2010 Managing Director NA true 03/07/2013 Bob Murphy 08/06/2010 Executive Director NA true 09/30/2014 Lonnie Bae 08/06/2010 Vice President NA true Susan Forman 12/15/2005 Vice President NA true Albert Miller 08/06/2010 Vice President NA true 03/07/2013 Nicole Livelli 08/06/2010 Vice President NA true 08/01/2012 Chris O'Dell 01/24/2011 Managing Director, Secretary NA true 10/16/2018 Barbara Toich 04/19/2011 Vice President NA true Jeffrey Gelfand 11/28/2011 Managing Director, CFO, Treasurer NA true 03/01/2017 Kevin Klingert 03/07/2013 Director & Managing Director NA true 02/25/2016 John Chiota 08/07/2013 Executive Director, AML Officer NA true 07/21/2014 Matthew Knapp 07/22/2014 Interim Chief AML Officer NA 08/18/2014 Joanne Antico 03/17/2014 Executive Director & Assistant Secretary NA 12/07/2015 Joseph Benedetti 03/17/2014 Managing Director & Assistant Secretary NA 12/23/2016 Greg Segrist 10/04/2012 Managing Director NA 03/31/2018 Philip Varela 08/18/2014 Chief AML Compliance Officer NA true 01/31/2019 Stefanie Chang Yu 08/15/2014 Managing Director & CCO NA true 10/31/2014 Robert Creaney 07/22/2014 Executive Director NA 01/28/2020 Ilene Shore 10/31/2014 Exec. Director, Chief Compliance Officer NA true John Keleghan 10/22/2014 Managing Director NA 04/04/2018 James Simon David Levi 03/04/2015 Managing Director NA 03/31/2017 Michael P. Levy 05/01/2015 Managing Director NA 09/29/2016 Giselle Lopez-Velasco 09/08/2014 Executive Director NA Amy Yeung 10/22/2014 Executive Director NA 04/04/2018 Matthew Mistal 04/04/2018 Executive Director NA true Jeannine V. Ali 04/04/2018 Chief Financial Officer, Treasurer NA true John Gernon 03/01/2017 Managing Director NA Maryalice Dunne 03/01/2017 Managing Director NA John H. Hagarty 03/01/2017 Managing Director NA Mary E. Mullin 03/01/2017 Managing Director, Assistant Secretary NA true Kevin Cronin 04/04/2018 Executive Director NA Robert Rizza 04/04/2018 Executive Director NA Stefanie V. Chang Yu 03/01/2017 Managing Director, Assistant Secretary NA true 10/16/2018 Stefanie V. Chang Yu 10/16/2018 Managing Director, Secretary NA Andrew Clive Onslow 02/27/2019 President, CEO NA Thomas Velez 01/31/2019 Executive Director, Chief AML Officer NA Nina Kimble 05/01/2019 VP, Deputy AML Officer NA Jason Hirsch 01/28/2020 Executive Director NA Kate Kennedy 01/28/2020 Vice President NA Tushar Mehta 11/19/2019 Executive Director NA Ken Topping 10/12/2020 Managing Director NA Y Morgan Stanley Investment Management Inc. Morgan Stanley Services Company Inc., is a wholly owned subsidiary of Morgan Stanley Investment Management Inc. Morgan Stanley Morgan Stanley Investment Management Inc., the parent company of Morgan Stanley Services Company Inc., is a wholly owned subsidiary of Morgan Stanley. N N N N N Y Morgan Stanley Investment Management Inc. FL-3607 11/16/2011 U.S. Securities and Exchange Commission PURSUANT TO AN OFFER OF SETTLEMENT, THE SEC FOUND, AND MORGAN STANLEY INVESTMENT MANAGEMENT INC. ("MSIM INC.") NEITHER ADMITTED NOR DENIED, THAT MSIM INC. VIOLATED SECTIONS 15(C) AND 34(B) OF THE INVESTMENT COMPANY ACT OF 1940, SECTIONS 206(2) AND SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULE 206(4)-7 THEREUNDER WHEN IT REPRESENTED TO SHAREHOLDERS AND THE BOARD OF DIRECTORS OF THE MALAYSIA FUND, INC., A CLOSED-END FUND ADVISED BY MSIM INC., THAT AN UNAFFILIATED FOREIGN SUB-ADVISER TO THE FUND WAS PROVIDING CERTAIN SERVICES TO THE FUND, WHEN IN FACT THE SUB-ADVISER WAS NOT PROVIDING THOSE SERVICES. CEASE AND DESIST ORDER; REIMBURSED FUND $1,845,074.92, LESS A CREDIT OF $543,000 FOR PORTION ALREADY REIMBURSED; CIVIL MONEY PENALTY OF $1,500,000; CENSURED AND ORDERED TO IMPLEMENT AND MAINTAIN CERTAIN POLICIES AND PROCEDURES. Y Morgan Stanley Investment Management Inc. 3-17016 12/22/2015 U.S. Securities and Exchange Commission Pursuant to an offer of settlement, the SEC found, and MSIM 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 Advisers Act and Rule 206(4)-7 thereunder, aided and abetted and caused a violation of Section 17(a)(2) of the Investment Company Act of 1940 (Company Act), and failed reasonably to supervise a former MSIM portfolio manager/trader in connection with inappropriate prearranged sales and buybacks of fixed income securities at pre-set prices with a trader at an unaffiliated broker-dealer, which resulted in undisclosed favorable treatment of certain MSIM advisory clients over others. MSIM consented to an order finding violations of provisions of the Securities Act, Investment Company Act and Advisers Act. MSIM paid disgorgement of $774,272 plus interest to accounts disadvantaged in the transactions, and penalty of $8,000,000 to SEC. Morgan Stanley Investment Management Inc. FL-3607 11/16/2011 U.S. Securities and Exchange Commission PURSUANT TO AN OFFER OF SETTLEMENT, THE SEC FOUND, AND MORGAN STANLEY INVESTMENT MANAGEMENT INC. ("MSIM INC.") NEITHER ADMITTED NOR DENIED, THAT MSIM INC. VIOLATED SECTIONS 15(C) AND 34(B) OF THE INVESTMENT COMPANY ACT OF 1940, SECTIONS 206(2) AND SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULE 206(4)-7 THEREUNDER WHEN IT REPRESENTED TO SHAREHOLDERS AND THE BOARD OF DIRECTORS OF THE MALAYSIA FUND, INC., A CLOSED-END FUND ADVISED BY MSIM INC., THAT AN UNAFFILIATED FOREIGN SUB-ADVISER TO THE FUND WAS PROVIDING CERTAIN SERVICES TO THE FUND, WHEN IN FACT THE SUB-ADVISER WAS NOT PROVIDING THOSE SERVICES. CEASE AND DESIST ORDER; REIMBURSED FUND $1,845,074.92, LESS A CREDIT OF $543,000 FOR PORTION ALREADY REIMBURSED; CIVIL MONEY PENALTY OF $1,500,000; CENSURED AND ORDERED TO IMPLEMENT AND MAINTAIN CERTAIN POLICIES AND PROCEDURES. N Y Morgan Stanley Investment Management Inc. FL-3607 11/16/2011 U.S. Securities and Exchange Commission PURSUANT TO AN OFFER OF SETTLEMENT, THE SEC FOUND, AND MORGAN STANLEY INVESTMENT MANAGEMENT INC. ("MSIM INC.") NEITHER ADMITTED NOR DENIED, THAT MSIM INC. VIOLATED SECTIONS 15(C) AND 34(B) OF THE INVESTMENT COMPANY ACT OF 1940, SECTIONS 206(2) AND SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULE 206(4)-7 THEREUNDER WHEN IT REPRESENTED TO SHAREHOLDERS AND THE BOARD OF DIRECTORS OF THE MALAYSIA FUND, INC., A CLOSED-END FUND ADVISED BY MSIM INC., THAT AN UNAFFILIATED FOREIGN SUB-ADVISER TO THE FUND WAS PROVIDING CERTAIN SERVICES TO THE FUND, WHEN IN FACT THE SUB-ADVISER WAS NOT PROVIDING THOSE SERVICES. CEASE AND DESIST ORDER; REIMBURSED FUND $1,845,074.92, LESS A CREDIT OF $543,000 FOR PORTION ALREADY REIMBURSED; CIVIL MONEY PENALTY OF $1,500,000; CENSURED AND ORDERED TO IMPLEMENT AND MAINTAIN CERTAIN POLICIES AND PROCEDURES. Morgan Stanley Investment Management Inc. 3-17016 12/22/2015 U.S. Securities and Exchange Commission Pursuant to an offer of settlement, the SEC found, and MSIM 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 Advisers Act and Rule 206(4)-7 thereunder, aided and abetted and caused a violation of Section 17(a)(2) of the Investment Company Act of 1940 (Company Act), and failed reasonably to supervise a former MSIM portfolio manager/trader in connection with inappropriate prearranged sales and buybacks of fixed income securities at pre-set prices with a trader at an unaffiliated broker-dealer, which resulted in undisclosed favorable treatment of certain MSIM advisory clients over others. MSIM consented to an order finding violations of provisions of the Securities Act, Investment Company Act and Advisers Act. MSIM paid disgorgement of $774,272 plus interest to accounts disadvantaged in the transactions, and penalty of $8,000,000 to SEC. Y Morgan Stanley No docket/case number 02/11/2016 U.S. DEPARTMENT OF JUSTICE 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. SETTLED FOR $2,600,000,000 TO RESOLVE CLAIMS RELATED TO MARKETING OF RESIDENTIAL MORTGAGE-BACKED SECURITIES; AGREED TO COOPERATE WITH DEPARTMENT OF JUSTICE REGARDING MATTERS ARISING OUT OF THE CONDUCT COVERED BY THE SETTLEMENT. Morgan Stanley No docket/case number 02/11/2016 OFFICE OF THE ATTORNEY GENERAL OF THE STATE OF ILLINOIS 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. SETTLED FOR $22.5 MILLION TO RESOLVE CLAIMS RELATED TO MARKETING RESIDENTIAL MORTGAGE-BACKED SECURITIES; MADE IN CONJUNCTION WITH AGREEMENT WITH PRESIDENT'S RMBS FINANCIAL FRAUD ENFORCEMENT TASK FORCE; DID NOT RESULT IN FINDING OF VIOLATIONS OF LAW. Morgan Stanley No docket/case number 02/11/2016 ATTORNEY GENERAL OF THE STATE OF NEW YORK 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. SETTLED FOR $150 MILLION TO RESOLVE CLAIMS RELATED TO MARKETING OF RESIDENTIAL MORTGAGE BACKED SECURITIES; PROVIDED $400 MILLION OF CONSUMER RELIEF; SETTLED IN CONJUNCTION WITH AGREEMENT WITH PRESIDENT'S RMBS FINANCIAL FRAUD ENFORCEMENT TASK FORCE. Y Morgan Stanley No docket/case number 02/11/2016 U.S. DEPARTMENT OF JUSTICE 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. SETTLED FOR $2,600,000,000 TO RESOLVE CLAIMS RELATED TO MARKETING OF RESIDENTIAL MORTGAGE-BACKED SECURITIES; AGREED TO COOPERATE WITH DEPARTMENT OF JUSTICE REGARDING MATTERS ARISING OUT OF THE CONDUCT COVERED BY THE SETTLEMENT. Morgan Stanley No docket/case number 02/11/2016 OFFICE OF THE ATTORNEY GENERAL OF THE STATE OF ILLINOIS 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. SETTLED FOR $22.5 MILLION TO RESOLVE CLAIMS RELATED TO MARKETING RESIDENTIAL MORTGAGE-BACKED SECURITIES; MADE IN CONJUNCTION WITH AGREEMENT WITH PRESIDENT'S RMBS FINANCIAL FRAUD ENFORCEMENT TASK FORCE; DID NOT RESULT IN FINDING OF VIOLATIONS OF LAW. Morgan Stanley No docket/case number 02/11/2016 ATTORNEY GENERAL OF THE STATE OF NEW YORK 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. SETTLED FOR $150 MILLION TO RESOLVE CLAIMS RELATED TO MARKETING OF RESIDENTIAL MORTGAGE BACKED SECURITIES; PROVIDED $400 MILLION OF CONSUMER RELIEF; SETTLED IN CONJUNCTION WITH AGREEMENT WITH PRESIDENT'S RMBS FINANCIAL FRAUD ENFORCEMENT TASK FORCE. N Y Morgan Stanley 12-015-B-HC 04/02/2012 BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ALLEGED THAT THE FIRM, THROUGH A SUBSIDIARY ENGAGED IN THE BUSINESS OF RESIDENTIAL MORTGAGE LOAN SERVICING, ENGAGED IN UNSAFE OR UNSOUND BANKING PRACTICES IN CONNECTION WITH THE PROCESS LEADING TO CERTAIN FORECLOSURE ACTIONS. UNDERTAKING TO A) RETAIN INDEPENDENT CONSULTANT B) REMEDIATE CERTAIN FORECLOSURE PROCEEDINGS AND SALES, C) SUBMIT ACCEPTABLE POLICIES AND PROCEDURES AND D) COMPLY WITH CERTAIN REQUIREMENTS IN THE FUTURE RELATED RESIDENTIAL MORTGAGE LOAN SERVICING N N N N N N Y MORGAN STANLEY F.092.22/3408 08/21/2014 HELLENIC CAPITAL MARKET COMMISSION 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. MS PAID A SUMMARY FINE OF 71,000 EURO MORGAN STANLEY 1/746/01.21.2016 03/06/2017 HELLENIC CAPITAL MARKET COMMISSION 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 SUBSIDIARY AS CUSTODIAN ON BEHALF OF A CUSTOMER. MS PAID A SUMMARY FINE OF 50,000 EURO MORGAN STANLEY ADMINISTRATIVE OFFENSE PROCEEDINGS NO. 20/2014 03/22/2016 PORTUGUESE SECURITIES MARKET COMMISSION 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. CMVM ISSUED A CAUTION FOR WILLFUL BREACH OF DUTY TO NOTIFY CMVM OF ITS QUALIFYING HOLDING AND DUTY TO NOTIFY THE ISSUING COMPANY OF ITS QUALIFYING HOLDING. CMVM ALSO REMINDED THE FIRM THAT IT IS UNDER STRICT LEGAL OBLIGATIONS THAT MUST BE COMPLIED WITH. MORGAN STANLEY INVESTMENT MANAGEMENT (JAPAN) CO., LTD. 2011-6 06/24/2011 JAPAN FINANCIAL SERVICES AGENCY ("FSA") MSAITM FAILED TO SUBMIT THE BELOW REPORTS TO KANTO FINANCIAL BUREAU IN JAPAN BY THE BELOW DUE DATE. (I) REPORTS: LARGE SHAREHOLDING REPORTS AND CHANGE REPORTS (6 REPORTS IN TOTAL), (II) DUE DATE: JULY 23, 2009 TO OCTOBER 22, 2009. ADVISER PAID A PENALTY OF $15,523 N N N Ilene Shore 212-537-2820 Executive Director 04/28/2021