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 |
Morgan Stanley | mortgage abuses | 2013 | FED | $227,000,000 |
Morgan Stanley | mortgage abuses | 2018 | FED | $8,000,000 |
Morgan Stanley | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $4,800,000 |
E*Trade | price-fixing or anti-competitive practices | 2012 | MULTI-AG | $100,000 |
Morgan Stanley | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
Morgan Stanley & Co. LLC | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
Morgan Stanley & Co. LLC | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $33,500,000 |
Morgan Stanley & Co. LLC | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
Morgan Stanley & Co. LLC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Morgan Stanley & Co. LLC | price-fixing or anti-competitive practices | 2011 | private lawsuit-federal | $6,500,000 |
Morgan Stanley Smith Barney LLC | privacy violation | 2023 | MULTI-AG | $6,500,000 |
Morgan Stanley & Co. LLC | toxic securities abuses | 2016 | FDIC | $62,950,000 |
Morgan Stanley | toxic securities abuses | 2016 | DOJ | $2,600,000,000 |
Morgan Stanley | toxic securities abuses | 2014 | SEC | $275,000,000 |
Morgan Stanley | toxic securities abuses | 2014 | FHFA | $1,250,000,000 |
Morgan Stanley | toxic securities abuses | 2015 | NCUA | $225,000,000 |
Morgan Stanley | toxic securities abuses | 2016 | IL-AG | $22,500,000 |
Morgan Stanley | toxic securities abuses | 2016 | NY-AG | $550,000,000 |
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 | toxic securities abuses | 2016 | VA-AG | $6,900,000 |
Morgan Stanley Mortgage Capital Holdings | toxic securities abuses | 2011 | NV-AG | $28,200,000 |
Morgan Stanley Capital Group | utility service violation | 2014 | TX-PUC | $18,000 |
Morgan Stanley | wage and hour violation | 2016 | private lawsuit-federal | $5,995,000 |
Morgan Stanley | wage and hour violation | 2014 | private lawsuit-federal | $4,200,000 |
E-Trade | wage and hour violation | 2012 | private lawsuit-federal | $1,500,000 |
Morgan Stanley | wage and hour violation | 2009 | private lawsuit-federal | $50,000,000 |