Solium Financial Services LLC | investor protection violation | 2020 | IL-SEC | $11,385 |
Morgan Stanley & Co. Inc. | investor protection violation | 2012 | IN-SEC | $210,000 |
Solium Financial Services LLC | investor protection violation | 2020 | IN-SEC | $15,575 |
Morgan Stanley D.W., Inc. | investor protection violation | 2004 | KY-FIN | $100,000 |
Solium Financial Services LLC | investor protection violation | 2020 | KY-FIN | $5,465 |
Morgan Stanley & Co. | toxic securities abuses | 2010 | MA-AG | $102,000,000 |
Morgan Stanley & Co. | toxic securities abuses | 2008 | MA-AG | $1,500,000 |
Morgan Stanley & Co. LLC | investor protection violation | 2012 | MA-SEC | $5,000,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2017 | MA-SEC | $1,000,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2019 | MA-SEC | $382,500 |
Morgan Stanley & Co. Inc. | investor protection violation | 2008 | MD-SEC | $35,000 |
Morgan Stanley & Co. Inc. | investor protection violation | 2009 | MD-SEC | $100,000 |
Solium Financial Services, LLC | investor protection violation | 2020 | ME-SEC | $5,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2023 | ME-SEC | $5,000 |
Solium Financial Services LLC | investor protection violation | 2020 | MO-SEC | $9,130 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2016 | MS-SEC | $4,743,815 |
Solium Financial Services LLC | investor protection violation | 2020 | MS-SEC | $6,000 |
Solium Financial Services LLC | investor protection violation | 2020 | MT-FIN | $14,700 |
E*Trade | price-fixing or anti-competitive practices | 2012 | MULTI-AG | $100,000 |
Morgan Stanley | investor protection violation | 2008 | MULTI-AG | $3,535,000,000 |
Morgan Stanley | investor protection violation | 2002 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000 |
Salomon Smith Barney Inc. | investor protection violation | 2002 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $400,000,000 |
Morgan Stanley Smith Barney LLC | privacy violation | 2023 | MULTI-AG | $6,500,000 |
E*TRADE Securities LLC | investor protection violation | 2011 | MULTI-FIN | $5,000,000 |
Morgan Stanley | investor protection violation | 2008 | 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. $35,000,000 |
Morgan Stanley & Co. | investor protection violation | 2009 | MULTI-FIN | $8,500,000 |
Morgan Stanley & Co. | 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 |
Morgan Stanley | toxic securities abuses | 2015 | NCUA | $225,000,000 |
Eaton Vance Income Fund of Boston | investor protection violation | 2006 | NE-DBF | $17,000 |
Solium Financial Services LLC | consumer protection violation | 2019 | NE-DBF | $14,000 |
Morgan Stanley | investor protection violation | 2004 | NH-BSR | $500,000 |
Morgan Stanley DW Inc. | investor protection violation | 2005 | NH-BSR | $435,000 |
Morgan Stanley Smith Barney | investor protection violation | 2012 | NH-BSR | $35,000 |
Morgan Stanley Smith Barney, LLC | investor protection violation | 2018 | NH-BSR | $983,284 |
Solium Financial Services LLC | investor protection violation | 2020 | NH-BSR | $90,000 |
E*Trade Securities LLC | investor protection violation | 2021 | NH-BSR | $5,000 |
Morgan Stanley | investor protection violation | 2011 | NJ-AG | $1,560,000 |
Morgan Stanley & Co., LLC | investor protection violation | 2013 | NJ-AG | $100,000 |
Smith Barney | investor protection violation | 2007 | NJ-AG | $5,000,000 |
Smith Barney | investor protection violation | 2007 | NJ-AG | $978,000 |
Smith Barney | investor protection violation | 2007 | NJ-BOS | $5,000,000 |
Durango Midstream, LLC | environmental violation | 2023 | NM-ENV | $34,320 |
Solium Financial Services LLC | investor protection violation | 2020 | NM-SEC | $6,500 |
Morgan Stanley Mortgage Capital Holdings | toxic securities abuses | 2011 | NV-AG | $28,200,000 |
Morgan Stanley | toxic securities abuses | 2016 | NY-AG | $550,000,000 |
Morgan Stanley DW Inc. | investor protection violation | 2006 | NY-AG | $1,040,964 |
Morgan Stanley Bank, N.A. | banking violation | 2020 | OCC | $60,000,000 |
Solium Financial Services LLC | investor protection violation | 2020 | OK-SEC | $9,968 |
Solium Financial Services LLC | investor protection violation | 2020 | OR-FIN | $10,599 |
Solium Financial Services LLC | investor protection violation | 2020 | PA-BKG | $52,372 |
Morgan Stanley & Co. Inc. | investor protection violation | 2007 | RI-FIN | $250,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2018 | RI-FIN | $175,000 |
Solium Financial Services LLC | investor protection violation | 2020 | RI-FIN | $6,500 |
Morgan Stanley & Co. Inc. | investor protection violation | 2011 | SC-SEC | $30,000 |
Solium Financial Services LLC | investor protection violation | 2020 | SC-SEC | $28,007 |
Solium Financial Services LLC | investor protection violation | 2020 | SD-SEC | $5,750 |
Morgan Stanley Investment Management | investor protection violation | 2015 | SEC | $8,800,000 |
Morgan Stanley & Co. LLC | investor protection violation | 2014 | SEC | $4,000,000 |
Morgan Stanley | toxic securities abuses | 2014 | SEC | $275,000,000 |
Morgan Stanley Investment Management | investor protection violation | 2011 | SEC | $3,300,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2016 | SEC | $1,000,000 |
Morgan Stanley & Co. LLC | investor protection violation | 2015 | SEC | $500,000 |
E*TRADE Securities | investor protection violation | 2014 | SEC | $2,500,000 |
Morgan Stanley | investor protection violation | 2009 | SEC | $500,000 |
Morgan Stanley & Co. Incorporated | investor protection violation | 2007 | SEC | $7,957,200 |
Morgan Stanley & Co. | investor protection violation | 2006 | SEC | $10,000,000 |
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. | investor protection violation | 2006 | SEC | $1,500,000 |
Morgan Stanley & Co. | data submission deficiencies | 2006 | SEC | $10,000,000 |
Morgan Stanley & Co. | investor protection violation | 2005 | SEC | $40,000,000 |
Morgan Stanley DW Inc. | investor protection violation | 2003 | SEC | $50,000,000 |
Morgan Stanley & Co. Incorporated | investor protection violation | 2003 | SEC | $125,000,000 |
Morgan Stanley & Co. Incorporated | data submission deficiencies | 2002 | SEC | $1,650,000 |
Salomon Smith Barney Inc. | data submission deficiencies | 2002 | SEC | $1,650,000 |
Morgan Stanley & Co. Incorporated | investor protection violation | 2000 | SEC | $2,500,000 |
Salomon Smith Barney Inc. | investor protection violation | 2000 | SEC | $45,000,000 |
Morgan Stanley & Co. LLC | investor protection violation | 2016 | SEC | $7,500,000 |
Morgan Stanley Smith Barney | investor protection violation | 2017 | SEC | $13,000,000 |
Morgan Stanley Smith Barney | investor protection violation | 2017 | SEC | $2,963,735 |
Morgan Stanley Smith Barney | investor protection violation | 2017 | SEC | $8,000,000 |
Morgan Stanley Smith Barney | investor protection violation | 2018 | SEC | $3,600,000 |
E*Trade Clearing LLC | investor protection violation | 2008 | SEC | $500,000 |
Morgan Stanley & Co. Incorporated | investor protection violation | 2007 | SEC | $17,000,000 |
Morgan Stanley & Co. Incorporated | investor protection violation | 2007 | SEC | $7,500,000 |
Smith Barney Fund Management LLC | investor protection violation | 2007 | SEC | $450,000 |
Dean Witter Reynolds Inc. | investor protection violation | 2002 | SEC | $500,000 |
Dean Witter Reynolds Inc. | investor protection violation | 2000 | SEC | $476,702 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2019 | SEC | $1,545,758 |
Morgan Stanley Smith Barney, LLC | investor protection violation | 2019 | SEC | $225,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2020 | SEC | $5,000,000 |
Morgan Stanley & Co. LLC | investor protection violation | 2020 | SEC | $5,000,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2022 | SEC | $35,000,000 |
Morgan Stanley & Co. LLC | investor protection violation | 2022 | SEC | $125,000,000 |
Morgan Stanley & Co. LLC | investor protection violation | 2024 | SEC | $83,000,000 |
Solium Financial Services LLC | investor protection violation | 2020 | TN-SEC | $12,994 |
Morgan Stanley Capital Group | utility service violation | 2014 | TX-PUC | $18,000 |
Morgan Stanley & Co. Inc. | investor protection violation | 2008 | TX-SEC | $400,000 |
Solium Financial Services LLC | investor protection violation | 2020 | TX-SEC | $46,073 |
Morgan Stanley & Co. LLC | investor protection violation | 2024 | USAO | $153,431,223 |
Morgan Stanley & Co. LLC | toxic securities abuses | 2016 | VA-AG | $6,900,000 |
Solium Financial Services LLC | investor protection violation | 2019 | VA-SEC | $10,000 |
Solium Financial Services LLC | investor protection violation | 2020 | VT-FIN | $6,900 |