National City Mortgage | PNC Financial Services | wage and hour violation | 2008 | private lawsuit-federal | $27,500,000 |
National City Corporation d/b/a National City Bank | PNC Financial Services | labor relations violation | 2008 | NLRB | $49,597 |
National City Corporation | PNC Financial Services | labor relations violation | 2009 | NLRB | $24,083 |
National City Corp. | PNC Financial Services | benefit plan administrator violation | 2010 | private lawsuit-federal | $43,000,000 |
National City Commercial Capital Corporation | PNC Financial Services | consumer protection violation | 2006 | NY-AG | $817,700 |
National City Commercial Capital Company LLC | PNC Financial Services | consumer protection violation | 2008 | MULTI-AG | $7,200,000 |
National City Bank and its successor PNC Bank | PNC Financial Services | banking violation | 2013 | CFPB | $35,000,000 |
National City Bank | PNC Financial Services | economic sanction violation | 2003 | OFAC | $5,500 |
National City Bank | PNC Financial Services | banking violation | 2009 | OCC | $34,265 |
National City Bank | PNC Financial Services | banking violation | 2003 | OCC | $56,800 |
National Casualty Company | Nationwide | insurance violation | 2000 | MA-INS | $6,500 |
National Casualty Company | Nationwide | insurance violation | 2016 | WA-INS | $9,000 |
National Casualty Company | Nationwide | insurance violation | 2019 | WA-INS | $20,000 |
NATIONAL CASUALTY COMPANY | Nationwide | insurance violation | 2021 | WA-INS | $50,000 |
National Casualty Company | Nationwide | insurance violation | 2022 | RI-FIN | $20,000 |
National Australia Bank Ltd. | National Australia Bank | economic sanction violation | 2007 | OFAC | $100,000 |
National Australia Bank Limited | National Australia Bank | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $27,000,000 |
Nasdaq, Inc. | Nasdaq Inc. | economic sanction violation | 2023 | OFAC | $4,040,923 |
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC | Nasdaq Inc. | investor protection violation | 2013 | SEC | $10,000,000 |
Mutual of Omaha Mortgage, Inc. | Mutual of Omaha | consumer protection violation | 2020 | PA-BKG | $7,000 |
Mutual of Omaha Mortgage, Inc. | Mutual of Omaha | consumer protection violation | 2022 | MA-BKG | $25,000 |
Mutual Of Omaha Insurance Company | Mutual of Omaha | insurance violation | 2019 | WA-INS | $12,000 |
Mutual of Omaha Insurance Co. | Mutual of Omaha | kickbacks and bribery | 2008 | CT-AG | $1,700,000 |
Mutual of Omaha Insurance Co. | Mutual of Omaha | consumer protection violation | 2019 | MA-AG | $25,000 |
Mutual of Omaha Insurance Co. | Mutual of Omaha | insurance violation | 2019 | CT-INS | $60,500 |
Mutual of Omaha Insurance Co. | Mutual of Omaha | insurance violation | 2007 | FL-OFR | $13,000 |
Mutual of Omaha Insurance Co. | Mutual of Omaha | insurance violation | 2018 | MD-INS | $6,600 |
MUTUAL OF OMAHA INSURANCE CO. | Mutual of Omaha | insurance violation | 2002 | VA-INS | $25,800 |
Mutual of Omaha Bank | First Citizens BancShares | banking violation | 2013 | OCC | $51,765 |
Mutual of Omaha Bank | First Citizens BancShares | banking violation | 2019 | OCC | $98,415 |
Mutual of Omaha | Mutual of Omaha | consumer protection violation | 2002 | NY-AG | $10,000 |
Mutual of Omaha | Mutual of Omaha | consumer protection violation | 2012 | private lawsuit-federal | $1,900,000 |
MUFG Union Bank, National Association | U.S. Bancorp | banking violation | 2019 | OCC | $109,667 |
MUFG Union Bank, National Association | U.S. Bancorp | banking violation | 2023 | OCC | $15,000,000 |
MUFG Securities Americas Inc. | U.S. Bancorp | investor protection violation | 2018 | SEC | $1,400,000 |
MUFG Bank, Ltd. | U.S. Bancorp | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
MUFG Bank, Ltd. | U.S. Bancorp | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $750,000 |
MUFG Bank, Ltd. | U.S. Bancorp | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $30,000,000 |
MUFG BANK, LTD. | U.S. Bancorp | banking violation | 2024 | CT-BKG | $10,000 |
MUFG Bank Ltd. | U.S. Bancorp | banking violation | 2019 | NY-DFS | $33,000,000 |
MUFG Bank Ltd. | U.S. Bancorp | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $985,000 |
Mortgage Guaranty Insurance Corporation (MGIC) | MGIC Investment Corp. | mortgage abuses | 2012 | DOJ_RIGHTS | $550,000 |
Mortgage Access Corp. dba Weichert Financial Services | Weichert Financial Services | consumer protection violation | 2009 | KY-FIN | $5,000 |
Mortgage Access Corp. dba Weichert Financial Services | Weichert Financial Services | consumer protection violation | 2011 | MULTI-FIN | $3,000,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | investor protection violation | 2019 | SEC | $225,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | investor protection violation | 2018 | NH-BSR | $983,284 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | investor protection violation | 2015 | FINRA | $650,000 |
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2013 | FINRA | $1,188,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2016 | SEC | $1,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | SEC | $1,545,758 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2020 | SEC | $5,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2014 | CT-SEC | $5,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2017 | MA-SEC | $1,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | MA-SEC | $382,500 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2016 | MS-SEC | $4,743,815 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2018 | RI-FIN | $175,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | FINRA | $280,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | anti-money-laundering deficiencies | 2018 | FINRA | $10,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2017 | FINRA | $13,030,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2014 | FINRA | $5,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2022 | SEC | $35,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | privacy violation | 2023 | MULTI-AG | $6,500,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2023 | ME-SEC | $5,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2024 | FINRA | $1,600,000 |
Morgan Stanley Smith Barney FA Notes Holdings LLC | Morgan Stanley | consumer protection violation | 2020 | CA-DFPI | $1,000,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2014 | CFTC | $280,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2014 | CFTC | $490,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2012 | CFTC | $200,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2017 | SEC | $13,000,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2017 | SEC | $2,963,735 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2017 | SEC | $8,000,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2018 | SEC | $3,600,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2012 | NH-BSR | $35,000 |
Morgan Stanley Mortgage Capital Holdings | Morgan Stanley | toxic securities abuses | 2011 | NV-AG | $28,200,000 |
Morgan Stanley Investment Management | Morgan Stanley | investor protection violation | 2015 | SEC | $8,800,000 |
Morgan Stanley Investment Management | Morgan Stanley | investor protection violation | 2011 | SEC | $3,300,000 |
Morgan Stanley DW, Inc. | Morgan Stanley | investor protection violation | 2005 | FINRA | $6,100,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2003 | SEC | $50,000,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2006 | NY-AG | $1,040,964 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2006 | ID-SEC | $415,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2005 | NH-BSR | $435,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2004 | WA-FIN | $325,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2007 | FINRA | $6,100,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2006 | FINRA | $100,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2004 | FINRA | $2,200,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2004 | FINRA | $250,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2004 | FINRA | $38,312 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2003 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2003 | FINRA | $2,000,000 |
Morgan Stanley DW Inc | Morgan Stanley | investor protection violation | 2004 | FINRA | $336,510 |
Morgan Stanley DW | Morgan Stanley | investor protection violation | 2005 | DE-AG | $700,000 |
Morgan Stanley D.W., Inc. | Morgan Stanley | investor protection violation | 2004 | KY-FIN | $100,000 |
Morgan Stanley Capital Services LLC | Morgan Stanley | investor protection violation | 2020 | CFTC | $5,000,000 |
Morgan Stanley Capital Group, Inc. | Morgan Stanley | air pollution violation | 2017 | EPA | $1,119,000 |
Morgan Stanley Capital Group, Inc. | Morgan Stanley | air pollution violation | 2002 | EPA | $7,500 |
Morgan Stanley Capital Group Inc. | Morgan Stanley | consumer protection violation | 2009 | FL-AG | $2,275,000 |
Morgan Stanley Capital Group Inc. | Morgan Stanley | investor protection violation | 2019 | CFTC | $1,500,000 |
Morgan Stanley Capital Group Inc. | Morgan Stanley | air pollution violation | 2009 | EPA | $405,000 |
Morgan Stanley Capital Group | Morgan Stanley | investor protection violation | 2014 | CFTC | $200,000 |
Morgan Stanley Capital Group | Morgan Stanley | data submission deficiencies | 2010 | CFTC | $14,000,000 |
Morgan Stanley Capital Group | Morgan Stanley | utility service violation | 2014 | TX-PUC | $18,000 |