Morgan Stanley Capital Group Inc. | Morgan Stanley | financial services | investor protection violation | 2019 | CFTC | $1,500,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2019 | SEC | $1,545,758 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | financial services | investor protection violation | 2019 | SEC | $225,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2020 | SEC | $5,000,000 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | AK-DBS | $10,527 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | AL-SEC | $18,874 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2019 | AR-SEC | $5,000 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | CA-DFPI | $52,047 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | CT-SEC | $51,136 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | GA-SEC | $22,104 |
Solium Financial Services, LLC | Morgan Stanley | financial services | investor protection violation | 2020 | IA-INS | $10,147 |
Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2012 | IN-SEC | $210,000 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | IN-SEC | $15,575 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2012 | MA-SEC | $5,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2019 | MA-SEC | $382,500 |
Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2008 | MD-SEC | $35,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2009 | MD-SEC | $100,000 |
Solium Financial Services, LLC | Morgan Stanley | financial services | investor protection violation | 2020 | ME-SEC | $5,000 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | MO-SEC | $9,130 |
Eaton Vance Income Fund of Boston | Morgan Stanley | financial services | investor protection violation | 2006 | NE-DBF | $17,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2004 | NH-BSR | $500,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2005 | NH-BSR | $435,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2012 | NH-BSR | $35,000 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | NH-BSR | $90,000 |
Smith Barney | Morgan Stanley | financial services | investor protection violation | 2007 | NJ-BOS | $5,000,000 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | OK-SEC | $9,968 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | OR-FIN | $10,599 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2018 | RI-FIN | $175,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2011 | SC-SEC | $30,000 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | TN-SEC | $12,994 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2019 | VA-SEC | $10,000 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | VT-FIN | $6,900 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | WA-FIN | $33,753 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | WA-FIN | $325,000 |
E*TRADE Securities LLC | Morgan Stanley | financial services | investor protection violation | 2011 | MULTI-FIN | $5,000,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2009 | MULTI-FIN | $8,500,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2003 | MULTI-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 LLC | Morgan Stanley | financial services | investor protection violation | 2020 | FL-OFR | $79,045 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | PA-BKG | $52,372 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | SD-SEC | $5,750 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | TX-SEC | $46,073 |
Morgan Stanley Capital Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | CFTC | $5,000,000 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | CO-SEC | $69,338 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | IL-SEC | $11,385 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | KY-FIN | $5,465 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | MS-SEC | $6,000 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | MT-FIN | $14,700 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | NM-SEC | $6,500 |
Morgan Stanley Bank, N.A. | Morgan Stanley | financial services | banking violation | 2020 | OCC | $60,000,000 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | RI-FIN | $6,500 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | SC-SEC | $28,007 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2020 | SEC | $5,000,000 |
Solium Financial Services | Morgan Stanley | financial services | investor protection violation | 2021 | DC-DISB | $9,879 |
E*Trade Securities LLC | Morgan Stanley | financial services | investor protection violation | 2021 | NH-BSR | $5,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2017 | FINRA | $13,030,000 |
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2013 | FINRA | $1,188,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | financial services | investor protection violation | 2010 | FINRA | $800,000 |
E-Trade Securities LLC and E-Trade Clearing LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2009 | FINRA | $1,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2006 | FINRA | $200,000 |
Morgan Stanley DW Inc | Morgan Stanley | financial services | investor protection violation | 2004 | FINRA | $336,510 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | FINRA | $250,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | FINRA | $5,390,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2002 | FINRA | (*)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 Stanley | financial services | investor protection violation | 2002 | FINRA | (*)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 Stanley | financial services | investor protection violation | 2000 | FINRA | $200,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2022 | SEC | $125,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2023 | ME-SEC | $5,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2024 | USAO | $153,431,223 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2024 | SEC | $83,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2024 | FINRA | $1,600,000 |
Moody's Investors Service, Inc. | Moody's | information technology | investor protection violation | 2018 | SEC | $1,250,000 |
Moody's Investors Service, Inc. | Moody's | information technology | investor protection violation | 2018 | SEC | $15,000,000 |
Monomoy Capital Management, L.P. | Monomoy Capital Partners | private equity (including portfolio companies) | investor protection violation | 2020 | SEC | $1,926,579 |
Mondelez International, Inc. | Mondelez International | food products | accounting fraud or deficiencies | 2017 | SEC | $13,000,000 |
Mondelez Global | Mondelez International | food products | investor protection violation | 2022 | CFTC | $16,000,000 |
Mizuho Securities USA LLC | Mizuho Financial | financial services | investor protection violation | 2018 | SEC | $1,250,000 |
Mizuho Bank, Ltd. | Mizuho Financial | financial services | investor protection violation | 2018 | CFTC | $250,000 |
Mizuho Capital Markets LLC | Mizuho Financial | financial services | investor protection violation | 2023 | CFTC | $6,847,182 |
Mizuho Securities USA LLC | Mizuho Financial | financial services | investor protection violation | 2023 | SEC | $25,000,000 |
Mitsubishi UFJ Securities (USA), Inc. | Mitsubishi UFJ Financial Group | financial services | investor protection violation | 2016 | SEC | $20,000 |
Bank of Tokyo-Mitsubishi UFJ, Ltd. | Mitsubishi UFJ Financial Group | financial services | economic sanction violation | 2012 | OFAC | $8,571,634 |
Bank of Tokyo Mitsubishi-UFJ, Ltd | Mitsubishi UFJ Financial Group | financial services | economic sanction violation | 2013 | NY-DFS | $250,000,000 |
Bank of Tokyo Mitsubishi UFJ | Mitsubishi UFJ Financial Group | financial services | economic sanction violation | 2014 | NY-DFS | $315,000,000 |
Mitsubishi Corporation RtM Japan Ltd. | Mitsubishi Corporation | diversified | investor protection violation | 2019 | CFTC | $500,000 |
Mitsubishi International Corporation | Mitsubishi Corporation | diversified | investor protection violation | 2019 | CFTC | $400,000 |
MiMedx Group Inc. | MiMedx Group, Inc | medical equipment and supplies | accounting fraud or deficiencies | 2019 | SEC | $1,500,000 |
Midland States Bank | Midland States Bancorp | financial services | banking violation | 2013 | FED | $5,645 |
Midfirst Bank | MidFirst Bank | financial services | banking violation | 2019 | OCC | $35,000 |
Activision Blizzard Inc. | Microsoft | information technology | investor protection violation | 2023 | SEC | $35,000,000 |
Microsoft Corporation | Microsoft | information technology | economic sanction violation | 2023 | OFAC | $2,980,265 |
Microsoft Corporation | Microsoft | information technology | economic sanction violation | 2023 | BIS | $347,631 |
Vitesse Semiconductor Corp. | Microchip Technology Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2010 | SEC | $3,000,000 |
Beau Rivage Resorts, Inc. | MGM Resorts International | entertainment | economic sanction violation | 2004 | OFAC | $5,625 |
Metso Minerals | Metso Outotec | industrial equipment | economic sanction violation | 2003 | OFAC | $10,000 |
Metropolitan Life Insurance Company | MetLife | financial services | investor protection violation | 2006 | SEC | $250,000 |
New England Securities Corp. | MetLife | financial services | investor protection violation | 2006 | SEC | $2,614,865 |
Metropolitan Life Insurance Company | MetLife | financial services | economic sanction violation | 2011 | OFAC | $22,500 |
MetLife, Inc. | MetLife | financial services | investor protection violation | 2019 | SEC | $10,000,000 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2012 | DC-DISB | $25,000 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2010 | IL-SEC | $135,000 |
MetLife, Inc. | MetLife | financial services | investor protection violation | 2018 | MA-SEC | $1,000,000 |