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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each parent's entries 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. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MS-SEC$6,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MT-FIN$14,700
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NM-SEC$6,500
Morgan Stanley Bank, N.A.Morgan Stanleybanking violation2020OCC$60,000,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020RI-FIN$6,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SC-SEC$28,007
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2020SEC$5,000,000
Solium Financial ServicesMorgan Stanleyinvestor protection violation2021DC-DISB$9,879
E*Trade Securities LLCMorgan Stanleyinvestor protection violation2021NH-BSR$5,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019FINRA$280,000
Morgan Stanley Smith Barney LLCMorgan Stanleyanti-money-laundering deficiencies2018FINRA$10,000,000
E-Trade Securities, LLCMorgan Stanleyinvestor protection violation2008FINRA$500,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2017FINRA$13,030,000
E-Trade Securities LLCMorgan Stanleyinvestor protection violation2016FINRA$900,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2015FINRA$650,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2015FINRA$2,000,000
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2014FINRA$4,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2014FINRA$5,000,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2013FINRA$1,188,000
Morgan StanleyMorgan Stanleyinvestor protection violation2012FINRA$817,754
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2012FINRA$2,146,431
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2011FINRA$1,371,000
Morgan Stanley & Co., Inc.Morgan Stanleyinvestor protection violation2010FINRA$800,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2009FINRA$7,200,000
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyanti-money-laundering deficiencies2009FINRA$1,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2007FINRA$12,500,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2007FINRA$6,100,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006FINRA$100,000
Morgan StanleyMorgan Stanleyinvestor protection violation2006FINRA$2,900,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2006FINRA$200,000
Morgan Stanley DW, Inc.Morgan Stanleyinvestor protection violation2005FINRA$6,100,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2005FINRA$2,650,000
Morgan Stanley DW IncMorgan Stanleyinvestor protection violation2004FINRA$336,510
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$2,200,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$250,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$38,312
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2004FINRA$5,390,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003FINRA(*)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 Stanleyinvestor protection violation2003FINRA$2,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Salomon Smith BarneyMorgan Stanleyinvestor protection violation2002FINRA$5,000,000
E-Trade SecuritiesMorgan Stanleyinvestor protection violation2001FINRA$90,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2000FINRA$200,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
Morgan Stanley & Co., Inc.Morgan Stanleyinvestor protection violation2000FINRA$495,000
E-Trade Financial Corporate Services, Inc.Morgan Stanleyconsumer protection violation2021CT-BKG$10,000
Morgan Stanley Capital GroupMorgan Stanleyutility service violation2014TX-PUC$18,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2022SEC$35,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2022CFTC$75,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2022SEC$125,000,000
Morgan StanleyMorgan Stanleyprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2018private lawsuit-federal$33,500,000
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2011private lawsuit-federal$6,500,000
Morgan Stanley & Co.Morgan Stanleyconsumer protection violation2014private lawsuit-federal$95,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyprivacy violation2023MULTI-AG$6,500,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2023ME-SEC$5,000
Durango Midstream, LLCMorgan Stanleyenvironmental violation2023NM-ENV$34,320
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024USAO$153,431,223
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024SEC$83,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2024FINRA$1,600,000
MORGAN STANLEYMorgan Stanleyenvironmental violation2014EPA$10,000
Morgan Stanley Capital Group Inc.Morgan Stanleyenvironmental violation2009EPA$405,000
Morgan Stanley Capital Group, Inc.Morgan Stanleyenvironmental violation2017EPA$1,119,000
Morgan Stanley Capital Group, Inc.Morgan Stanleyenvironmental violation2002EPA$7,500
MLD Mortgage, Inc. dba The Money Store dba Mortgage Lending DirectMLD Mortgage Inc. dba The Money Storeconsumer protection violation2017CA-DFPI$30,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2009PA-BKG$5,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2010PA-BKG$5,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2011PA-BKG$27,500
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2016PA-BKG$55,000
MLD Mortgage, Inc. d/b/a The Money Store and Mortgage Loan DirectMLD Mortgage Inc. dba The Money Storeconsumer protection violation2016WA-FIN$407,103
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2018MULTI-FIN$720,000
Mizuho Financial GroupMizuho Financialinvestor protection violation2012SEC$127,500,000
Mizuho Securities USA Inc.Mizuho Financialdata submission deficiencies2013CFTC$175,000
Mizuho Securities USA LLCMizuho Financialinvestor protection violation2018SEC$1,250,000
Mizuho Bank, Ltd.Mizuho Financialinvestor protection violation2018CFTC$250,000
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2021CFTC$1,500,000
Mizuho Bank LtdMizuho Financialprice-fixing or anti-competitive practices2019private lawsuit-federal$13,083,333
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2023CFTC$6,847,182
Mizuho Securities USA LLCMizuho Financialinvestor protection violation2023SEC$25,000,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupinvestor protection violation2017CFTC$600,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupinvestor protection violation2016SEC$20,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupeconomic sanction violation2012OFAC$8,571,634
Bank of Tokyo Mitsubishi-UFJ, LtdMitsubishi UFJ Financial Groupeconomic sanction violation2013NY-DFS$250,000,000
Bank of Tokyo Mitsubishi UFJMitsubishi UFJ Financial Groupeconomic sanction violation2014NY-DFS$315,000,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupprice-fixing or anti-competitive practices2018private lawsuit-federal$10,500,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupprice-fixing or anti-competitive practices2018private lawsuit-federal$30,000,000
Midland States BankMidland States Bancorpbanking violation2013FED$5,645
Midland States BancorpMidland States Bancorpdiscriminatory practices (non-employment)2014HUD$15,950,000
Midfirst BankMidFirst Bankbanking violation2019OCC$35,000
MidFirst BankMidFirst Bankconsumer protection violation2014private lawsuit-federal$2,600,000
MIDFIRST BANKMidFirst Bankworkplace safety or health violation2023OSHA$5,581
Mortgage Guaranty Insurance Corporation (MGIC)MGIC Investment Corp.mortgage abuses2012DOJ_RIGHTS$550,000
MetLife BankMetLifebanking violation2013OCC$78,536,455
METLIFE, INCMetLifebanking violation2012FED$3,200,000
MetLife Home Loans LLCMetLifeFalse Claims Act and related2015DOJ_CIVIL$123,500,000
General American Life Insurance Company, Inc.MetLifeFalse Claims Act and related2002DOJ_CIVIL$76,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.