Warning: Undefined array key 1 in /usr/home/goodjobsfirst/public_html/violationtrackerlive/function.php on line 727
Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,268,054,805
Number of Penalty Records: 11,008
Note: The totals here are adjusted to account for the fact that each current 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$41,332,842,096155
UBS$27,709,494,893134
JPMorgan Chase$27,007,359,167119
Citigroup$19,742,743,935103
Deutsche Bank$15,634,467,27866
Goldman Sachs$13,126,412,84157
NatWest Group PLC$12,235,546,85725
Wells Fargo$10,735,220,989127
Morgan Stanley$9,877,862,956163
BNP Paribas$9,164,773,00010

Individual Penalty Records:

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

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
Morgan Stanley Capital Group Inc.Morgan Stanleyfinancial servicesinvestor protection violation2019CFTC$1,500,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2019SEC$1,545,758
Morgan Stanley Smith Barney, LLCMorgan Stanleyfinancial servicesinvestor protection violation2019SEC$225,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2020SEC$5,000,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020AK-DBS$10,527
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020AL-SEC$18,874
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2019AR-SEC$5,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020CA-DFPI$52,047
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020CT-SEC$51,136
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020GA-SEC$22,104
Solium Financial Services, LLCMorgan Stanleyfinancial servicesinvestor protection violation2020IA-INS$10,147
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2012IN-SEC$210,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020IN-SEC$15,575
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2012MA-SEC$5,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2019MA-SEC$382,500
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2008MD-SEC$35,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2009MD-SEC$100,000
Solium Financial Services, LLCMorgan Stanleyfinancial servicesinvestor protection violation2020ME-SEC$5,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020MO-SEC$9,130
Eaton Vance Income Fund of BostonMorgan Stanleyfinancial servicesinvestor protection violation2006NE-DBF$17,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2004NH-BSR$500,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2005NH-BSR$435,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2012NH-BSR$35,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020NH-BSR$90,000
Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2007NJ-BOS$5,000,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020OK-SEC$9,968
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020OR-FIN$10,599
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2018RI-FIN$175,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2011SC-SEC$30,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020TN-SEC$12,994
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2019VA-SEC$10,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020VT-FIN$6,900
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020WA-FIN$33,753
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004WA-FIN$325,000
E*TRADE Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2011MULTI-FIN$5,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2009MULTI-FIN$8,500,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020FL-OFR$79,045
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020PA-BKG$52,372
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020SD-SEC$5,750
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020TX-SEC$46,073
Morgan Stanley Capital Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020CFTC$5,000,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020CO-SEC$69,338
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020IL-SEC$11,385
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020KY-FIN$5,465
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020MS-SEC$6,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020MT-FIN$14,700
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020NM-SEC$6,500
Morgan Stanley Bank, N.A.Morgan Stanleyfinancial servicesbanking violation2020OCC$60,000,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020RI-FIN$6,500
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020SC-SEC$28,007
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2020SEC$5,000,000
Solium Financial ServicesMorgan Stanleyfinancial servicesinvestor protection violation2021DC-DISB$9,879
E*Trade Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2021NH-BSR$5,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2017FINRA$13,030,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2013FINRA$1,188,000
Morgan Stanley & Co., Inc.Morgan Stanleyfinancial servicesinvestor protection violation2010FINRA$800,000
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyfinancial servicesanti-money-laundering deficiencies2009FINRA$1,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2006FINRA$200,000
Morgan Stanley DW IncMorgan Stanleyfinancial servicesinvestor protection violation2004FINRA$336,510
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004FINRA$250,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004FINRA$5,390,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor 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 Stanleyfinancial servicesinvestor 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
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000FINRA$200,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2022SEC$125,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2023ME-SEC$5,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024USAO$153,431,223
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024SEC$83,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2024FINRA$1,600,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018SEC$1,250,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018SEC$15,000,000
Monomoy Capital Management, L.P.Monomoy Capital Partnersprivate equity (including portfolio companies)investor protection violation2020SEC$1,926,579
Mondelez International, Inc.Mondelez Internationalfood productsaccounting fraud or deficiencies2017SEC$13,000,000
Mondelez GlobalMondelez Internationalfood productsinvestor protection violation2022CFTC$16,000,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2018SEC$1,250,000
Mizuho Bank, Ltd.Mizuho Financialfinancial servicesinvestor protection violation2018CFTC$250,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2023CFTC$6,847,182
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2023SEC$25,000,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2016SEC$20,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupfinancial serviceseconomic sanction violation2012OFAC$8,571,634
Bank of Tokyo Mitsubishi-UFJ, LtdMitsubishi UFJ Financial Groupfinancial serviceseconomic sanction violation2013NY-DFS$250,000,000
Bank of Tokyo Mitsubishi UFJMitsubishi UFJ Financial Groupfinancial serviceseconomic sanction violation2014NY-DFS$315,000,000
Mitsubishi Corporation RtM Japan Ltd.Mitsubishi Corporationdiversifiedinvestor protection violation2019CFTC$500,000
Mitsubishi International CorporationMitsubishi Corporationdiversifiedinvestor protection violation2019CFTC$400,000
MiMedx Group Inc.MiMedx Group, Incmedical equipment and suppliesaccounting fraud or deficiencies2019SEC$1,500,000
Midland States BankMidland States Bancorpfinancial servicesbanking violation2013FED$5,645
Midfirst BankMidFirst Bankfinancial servicesbanking violation2019OCC$35,000
Activision Blizzard Inc.Microsoftinformation technologyinvestor protection violation2023SEC$35,000,000
Microsoft CorporationMicrosoftinformation technologyeconomic sanction violation2023OFAC$2,980,265
Microsoft CorporationMicrosoftinformation technologyeconomic sanction violation2023BIS$347,631
Vitesse Semiconductor Corp.Microchip Technology Inc.electrical and electronic equipmentaccounting fraud or deficiencies2010SEC$3,000,000
Beau Rivage Resorts, Inc.MGM Resorts Internationalentertainmenteconomic sanction violation2004OFAC$5,625
Metso MineralsMetso Outotecindustrial equipmenteconomic sanction violation2003OFAC$10,000
Metropolitan Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2006SEC$250,000
New England Securities Corp.MetLifefinancial servicesinvestor protection violation2006SEC$2,614,865
Metropolitan Life Insurance CompanyMetLifefinancial serviceseconomic sanction violation2011OFAC$22,500
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2019SEC$10,000,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2012DC-DISB$25,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2010IL-SEC$135,000
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2018MA-SEC$1,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.