Morgan Stanley & Co. | consumer protection violation | 2014 | private lawsuit-federal | $95,000,000 |
MORGAN STANLEY | hazardous waste violation | 2014 | EPA | $10,000 |
Morgan Stanley | mortgage abuses | 2013 | FED | $227,000,000 |
Morgan Stanley & Co., LLC | investor protection violation | 2013 | NJ-AG | $100,000 |
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC | investor protection violation | 2013 | FINRA | $1,188,000 |
Morgan Stanley Smith Barney | investor protection violation | 2012 | CFTC | $200,000 |
Morgan Stanley | investor protection violation | 2012 | CFTC | $5,000,000 |
E-Trade | wage and hour violation | 2012 | private lawsuit-federal | $1,500,000 |
E*Trade | price-fixing or anti-competitive practices | 2012 | MULTI-AG | $100,000 |
Morgan Stanley & Co. Inc. | investor protection violation | 2012 | IN-SEC | $210,000 |
Morgan Stanley & Co. LLC | investor protection violation | 2012 | MA-SEC | $5,000,000 |
Morgan Stanley Smith Barney | investor protection violation | 2012 | NH-BSR | $35,000 |
Morgan Stanley | investor protection violation | 2012 | FINRA | $817,754 |
Morgan Stanley & Co., LLC | investor protection violation | 2012 | FINRA | $2,146,431 |
Morgan Stanley | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $4,800,000 |
Morgan Stanley Investment Management | investor protection violation | 2011 | SEC | $3,300,000 |
Morgan Stanley | investor protection violation | 2011 | NJ-AG | $1,560,000 |
Morgan Stanley Mortgage Capital Holdings | toxic securities abuses | 2011 | NV-AG | $28,200,000 |
Morgan Stanley & Co. Inc. | investor protection violation | 2011 | SC-SEC | $30,000 |
E*TRADE Securities LLC | investor protection violation | 2011 | MULTI-FIN | $5,000,000 |
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC | investor protection violation | 2011 | FINRA | $1,371,000 |
Morgan Stanley & Co. LLC | price-fixing or anti-competitive practices | 2011 | private lawsuit-federal | $6,500,000 |
Morgan Stanley Capital Group | data submission deficiencies | 2010 | CFTC | $14,000,000 |
Morgan Stanley & Co. | toxic securities abuses | 2010 | MA-AG | $102,000,000 |
Morgan Stanley & Co., Inc. | investor protection violation | 2010 | FINRA | $800,000 |
Morgan Stanley | investor protection violation | 2009 | SEC | $500,000 |
Morgan Stanley | wage and hour violation | 2009 | private lawsuit-federal | $50,000,000 |
Morgan Stanley Capital Group Inc. | consumer protection violation | 2009 | FL-AG | $2,275,000 |
Morgan Stanley & Co. Inc. | investor protection violation | 2009 | MD-SEC | $100,000 |
Morgan Stanley & Co. | investor protection violation | 2009 | MULTI-FIN | $8,500,000 |
Morgan Stanley & Co. | investor protection violation | 2009 | FINRA | $7,200,000 |
E-Trade Securities LLC and E-Trade Clearing LLC | anti-money-laundering deficiencies | 2009 | FINRA | $1,000,000 |
Morgan Stanley Capital Group Inc. | air pollution violation | 2009 | EPA | $405,000 |
E*Trade Group, Inc. | benefit plan administrator violation | 2008 | EBSA | $50,001 |
E-Trade | wage and hour violation | 2008 | private lawsuit-federal | $900,000 |
E*Trade Clearing LLC | investor protection violation | 2008 | SEC | $500,000 |
Smith Barney | employment discrimination | 2008 | private lawsuit-federal | $33,000,000 |
Morgan Stanley | employment discrimination | 2008 | private lawsuit-federal | $750,000 |
Morgan Stanley | employment discrimination | 2008 | private lawsuit-federal | $16,000,000 |
Morgan Stanley | investor protection violation | 2008 | MULTI-AG | $3,535,000,000 |
Morgan Stanley & Co. | toxic securities abuses | 2008 | MA-AG | $1,500,000 |
Morgan Stanley & Co. Inc. | investor protection violation | 2008 | MD-SEC | $35,000 |
Morgan Stanley & Co. Inc. | investor protection violation | 2008 | TX-SEC | $400,000 |
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 |
E-Trade Securities, LLC | investor protection violation | 2008 | FINRA | $500,000 |
Morgan Stanley & Co. Incorporated | investor protection violation | 2007 | SEC | $7,957,200 |
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 |
Morgan Stanley | employment discrimination | 2007 | private lawsuit-federal | $46,000,000 |
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 |
Morgan Stanley & Co. Inc. | investor protection violation | 2007 | RI-FIN | $250,000 |
Morgan Stanley & Co. | investor protection violation | 2007 | FINRA | $12,500,000 |
Morgan Stanley DW Inc. | investor protection violation | 2007 | FINRA | $6,100,000 |
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 | wage and hour violation | 2006 | private lawsuit-federal | $42,500,000 |
Morgan Stanley DW Inc. | investor protection violation | 2006 | NY-AG | $1,040,964 |
Morgan Stanley DW Inc. | investor protection violation | 2006 | ID-SEC | $415,000 |
Eaton Vance Income Fund of Boston | investor protection violation | 2006 | NE-DBF | $17,000 |
Morgan Stanley DW Inc. | investor protection violation | 2006 | FINRA | $100,000 |
Morgan Stanley | investor protection violation | 2006 | FINRA | $2,900,000 |
Morgan Stanley & Co. Incorporated | investor protection violation | 2006 | FINRA | $200,000 |
Morgan Stanley & Co. | investor protection violation | 2005 | SEC | $40,000,000 |
Morgan Stanley DW | investor protection violation | 2005 | DE-AG | $700,000 |
Morgan Stanley DW Inc. | investor protection violation | 2005 | NH-BSR | $435,000 |
Morgan Stanley DW, Inc. | investor protection violation | 2005 | FINRA | $6,100,000 |
Morgan Stanley & Co. | investor protection violation | 2005 | FINRA | $2,650,000 |
Morgan Stanley | employment discrimination | 2004 | EEOC | $54,000,000 |
Morgan Stanley D.W., Inc. | investor protection violation | 2004 | KY-FIN | $100,000 |
Morgan Stanley | investor protection violation | 2004 | NH-BSR | $500,000 |
Morgan Stanley DW Inc. | investor protection violation | 2004 | WA-FIN | $325,000 |
Morgan Stanley DW Inc | investor protection violation | 2004 | FINRA | $336,510 |
Morgan Stanley DW Inc. | investor protection violation | 2004 | FINRA | $2,200,000 |
Morgan Stanley DW Inc. | investor protection violation | 2004 | FINRA | $250,000 |
Morgan Stanley DW Inc. | investor protection violation | 2004 | FINRA | $38,312 |
Morgan Stanley & Co. Inc. | investor protection violation | 2004 | FINRA | $5,390,000 |
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. | 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 DW Inc. | 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. | investor protection violation | 2003 | FINRA | $2,000,000 |
Morgan Stanley & Co. Incorporated | data submission deficiencies | 2002 | SEC | $1,650,000 |
Salomon Smith Barney Inc. | data submission deficiencies | 2002 | SEC | $1,650,000 |
Dean Witter Reynolds Inc. | investor protection violation | 2002 | SEC | $500,000 |
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 & Co. Incorporated | 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. | 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 | investor protection violation | 2002 | FINRA | $5,000,000 |
Morgan Stanley Capital Group, Inc. | air pollution violation | 2002 | EPA | $7,500 |
Salomon Smith Barney | employment discrimination | 2001 | EEOC | $635,000 |
E-Trade Securities | investor protection violation | 2001 | FINRA | $90,000 |
Morgan Stanley & Co. Incorporated | investor protection violation | 2000 | SEC | $2,500,000 |
Salomon Smith Barney Inc. | investor protection violation | 2000 | SEC | $45,000,000 |
Dean Witter Reynolds Inc. | investor protection violation | 2000 | SEC | $476,702 |
Morgan Stanley & Co. Inc. | investor protection violation | 2000 | FINRA | $200,000 |
E-TRADE Securities, Inc. | investor protection violation | 2000 | FINRA | $20,000 |