Violation Tracker Parent Company Summary

Parent Company Name: 
Morgan Stanley
Ownership Structure: 
publicly traded (ticker symbol MS)
Headquartered in: 
New York
Industry: 
financial services
Penalty total since 2010: 
$4,996,368,010
Number of records: 
25
Top 10 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$4,412,950,0005
financial institution supervision failures$280,200,0002
mortgage abuses$229,350,0002
investor protection violation$48,563,7358
data submission deficiencies$14,000,0001
securities issuance or trading violation$6,490,0005
price-fixing or anti-competitive practices$4,800,0001
environmental violation$14,2751
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty dollar total above may be adjusted to account for the fact that the list of entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. Duplicate penalty amounts are marked with an asterisk in the list below.

Associated Names: 

MORGAN STANLEY; MORGAN STANLEY INVESTMENT MANAGEMENT?; MORGAN STANLEY INVESTMENT MGT

Links: 

For an overview of this company's accountability track record, read its Corporate Rap Sheet here.

Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

For more on the links between this company's federal political spending and its positions on proposed legislation, see its Maplight page.


Individual Penalty Records:

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Company Primary Offense Type Year Agency Penalty Amountsort icon
Morgan Stanley toxic securities abuses 2016 DOJ_CIVIL $2,600,000,000
Morgan Stanley toxic securities abuses 2014 FHFA $1,250,000,000
Morgan Stanley Smith Barney financial institution supervision failures 2014 CFTC $280,000,000
Morgan Stanley toxic securities abuses 2014 SEC $275,000,000
Morgan Stanley mortgage abuses 2013 FED $227,000,000
Morgan Stanley toxic securities abuses 2015 NCUA $225,000,000
Morgan Stanley & Co. LLC toxic securities abuses 2016 FDIC $62,950,000
Morgan Stanley Capital Group data submission deficiencies 2010 CFTC $14,000,000
Morgan Stanley Smith Barney investor protection violation 2017 SEC $13,000,000
Morgan Stanley Investment Management investor protection violation 2015 SEC $8,800,000
Morgan Stanley Smith Barney investor protection violation 2017 SEC $8,000,000
Morgan Stanley & Co. LLC investor protection violation 2016 SEC $7,500,000
Morgan Stanley securities issuance or trading violation 2012 CFTC $5,000,000
Morgan Stanley price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $4,800,000
Morgan Stanley & Co. LLC investor protection violation 2014 SEC $4,000,000
Morgan Stanley Investment Management? investor protection violation 2011 SEC $3,300,000
Morgan Stanley Smith Barney investor protection violation 2017 SEC $2,963,735
Saxon Mortgage Services Inc. mortgage abuses 2011 DOJ_CIVIL $2,350,000
Morgan Stanley Smith Barney LLC investor protection violation 2016 SEC $1,000,000
Morgan Stanley & Co. LLC securities issuance or trading violation 2015 SEC $500,000
Morgan Stanley Smith Barney securities issuance or trading violation 2014 CFTC $490,000
Morgan Stanley securities issuance or trading violation 2015 CFTC $300,000
Morgan Stanley Capital Group securities issuance or trading violation 2014 CFTC $200,000
Morgan Stanley Smith Barney financial institution supervision failures 2012 CFTC $200,000
MORGAN STANLEY CAPITAL GROUP INC environmental violation 2014 EPA $14,275
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