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 |
Smith Barney | investor protection violation | 2007 | NJ-BOS | $5,000,000 |
Solium Financial Services LLC | investor protection violation | 2020 | OK-SEC | $9,968 |
Solium Financial Services LLC | investor protection violation | 2020 | OR-FIN | $10,599 |
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 |
Morgan Stanley & Co. Inc. | investor protection violation | 2011 | SC-SEC | $30,000 |
Solium Financial Services LLC | investor protection violation | 2020 | TN-SEC | $12,994 |
Morgan Stanley & Co. Inc. | investor protection violation | 2008 | TX-SEC | $400,000 |
Solium Financial Services LLC | investor protection violation | 2019 | VA-SEC | $10,000 |
Solium Financial Services LLC | investor protection violation | 2020 | VT-FIN | $6,900 |
Solium Financial Services LLC | investor protection violation | 2020 | WA-FIN | $33,753 |
Morgan Stanley DW Inc. | investor protection violation | 2004 | WA-FIN | $325,000 |
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 |
Solium Financial Services LLC | investor protection violation | 2020 | FL-OFR | $79,045 |
Solium Financial Services LLC | investor protection violation | 2020 | PA-BKG | $52,372 |
Solium Financial Services LLC | investor protection violation | 2020 | SD-SEC | $5,750 |
Solium Financial Services LLC | investor protection violation | 2020 | TX-SEC | $46,073 |
Morgan Stanley Capital Services LLC | investor protection violation | 2020 | CFTC | $5,000,000 |
Solium Financial Services LLC | investor protection violation | 2020 | CO-SEC | $69,338 |
Solium Financial Services LLC | investor protection violation | 2020 | IL-SEC | $11,385 |
Solium Financial Services LLC | investor protection violation | 2020 | KY-FIN | $5,465 |
Solium Financial Services LLC | investor protection violation | 2020 | MS-SEC | $6,000 |
Solium Financial Services LLC | investor protection violation | 2020 | MT-FIN | $14,700 |
Solium Financial Services LLC | investor protection violation | 2020 | NM-SEC | $6,500 |
Solium Financial Services LLC | investor protection violation | 2020 | RI-FIN | $6,500 |
Solium Financial Services LLC | investor protection violation | 2020 | SC-SEC | $28,007 |
Morgan Stanley & Co. LLC | investor protection violation | 2020 | SEC | $5,000,000 |
Solium Financial Services | investor protection violation | 2021 | DC-DISB | $9,879 |
E*Trade Securities LLC | investor protection violation | 2021 | NH-BSR | $5,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2019 | FINRA | $280,000 |
E-Trade Securities, LLC | investor protection violation | 2008 | FINRA | $500,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2017 | FINRA | $13,030,000 |
E-Trade Securities LLC | investor protection violation | 2016 | FINRA | $900,000 |
Morgan Stanley Smith Barney, LLC | investor protection violation | 2015 | FINRA | $650,000 |
Morgan Stanley & Co. LLC | investor protection violation | 2015 | FINRA | $2,000,000 |
Morgan Stanley & Co., LLC | investor protection violation | 2014 | FINRA | $4,000,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2014 | FINRA | $5,000,000 |
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC | investor protection violation | 2013 | FINRA | $1,188,000 |
Morgan Stanley | investor protection violation | 2012 | FINRA | $817,754 |
Morgan Stanley & Co., LLC | investor protection violation | 2012 | FINRA | $2,146,431 |
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC | investor protection violation | 2011 | FINRA | $1,371,000 |
Morgan Stanley & Co., Inc. | investor protection violation | 2010 | FINRA | $800,000 |
Morgan Stanley & Co. | investor protection violation | 2009 | FINRA | $7,200,000 |
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 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 DW, Inc. | investor protection violation | 2005 | FINRA | $6,100,000 |
Morgan Stanley & Co. | investor protection violation | 2005 | FINRA | $2,650,000 |
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 | 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 | 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 |
E-Trade Securities | investor protection violation | 2001 | FINRA | $90,000 |
Morgan Stanley & Co. Inc. | investor protection violation | 2000 | FINRA | $200,000 |
E-TRADE Securities, Inc. | investor protection violation | 2000 | FINRA | $20,000 |
E-TRADE Securities, Inc. | investor protection violation | 2000 | FINRA | $20,000 |
Morgan Stanley & Co., Inc. | investor protection violation | 2000 | FINRA | $495,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2022 | SEC | $35,000,000 |
Morgan Stanley | investor protection violation | 2022 | CFTC | $75,000,000 |
Morgan Stanley & Co. LLC | investor protection violation | 2022 | SEC | $125,000,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2023 | ME-SEC | $5,000 |
Morgan Stanley & Co. LLC | investor protection violation | 2024 | USAO | $153,431,223 |
Morgan Stanley & Co. LLC | investor protection violation | 2024 | SEC | $83,000,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2024 | FINRA | $1,600,000 |
Durango Midstream, LLC | environmental violation | 2023 | NM-ENV | $34,320 |
MORGAN STANLEY | environmental violation | 2014 | EPA | $10,000 |
Morgan Stanley Capital Group Inc. | environmental violation | 2009 | EPA | $405,000 |
Morgan Stanley Capital Group, Inc. | environmental violation | 2017 | EPA | $1,119,000 |
Morgan Stanley Capital Group, Inc. | environmental violation | 2002 | EPA | $7,500 |
Morgan Stanley | employment discrimination | 2004 | EEOC | $54,000,000 |
Salomon Smith Barney | employment discrimination | 2001 | EEOC | $635,000 |
Smith Barney | employment discrimination | 2008 | private lawsuit-federal | $33,000,000 |
Morgan Stanley | employment discrimination | 2007 | private lawsuit-federal | $46,000,000 |
Morgan Stanley | employment discrimination | 2008 | private lawsuit-federal | $750,000 |
Morgan Stanley | employment discrimination | 2008 | private lawsuit-federal | $16,000,000 |
Morgan Stanley Capital Group | data submission deficiencies | 2010 | CFTC | $14,000,000 |
Morgan Stanley & Co. | data submission deficiencies | 2006 | SEC | $10,000,000 |
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 | data submission deficiencies | 2017 | CFTC | $350,000 |
Morgan Stanley Capital Group Inc. | consumer protection violation | 2009 | FL-AG | $2,275,000 |
Solium Financial Services LLC | consumer protection violation | 2019 | NE-DBF | $14,000 |
Morgan Stanley Smith Barney FA Notes Holdings LLC | consumer protection violation | 2020 | CA-DFPI | $1,000,000 |
E-Trade Financial Corporate Services, Inc. | consumer protection violation | 2021 | CT-BKG | $10,000 |
Morgan Stanley & Co. | consumer protection violation | 2014 | private lawsuit-federal | $95,000,000 |
E*Trade Group, Inc. | benefit plan administrator violation | 2008 | EBSA | $50,001 |
Morgan Stanley Bank, N.A. | banking violation | 2020 | OCC | $60,000,000 |