Violation Tracker Parent Company Summary

Parent Company Name: 
Morgan Stanley
Ownership Structure: 
publicly traded (ticker symbol MS)
Headquartered in: 
New York
Major Industry: 
financial services
Specific Industry: 
financial services
Penalty total since 2000: 
$9,934,733,234
Number of records: 
188
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$9,641,726,733158
employment-related offenses$255,530,00113
miscellaneous offenses$27,650,0005
competition-related offenses$4,900,0002
consumer-protection-related offenses$3,385,0006
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$5,124,050,00011
investor protection violation$4,209,326,733141
mortgage abuses$237,350,0003
employment discrimination$150,385,0006
wage and hour violation$105,095,0006
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Links: 

For an overview of this company's accountability track record, read its Corporate Rap Sheet here.

Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Primary Offense Type Year Agency Penalty Amountsort icon
Morgan Stanley investor protection violation 2008 MULTI-AG $3,535,000,000
Morgan Stanley toxic securities abuses 2016 DOJ $2,600,000,000
Morgan Stanley toxic securities abuses 2014 FHFA $1,250,000,000
Morgan Stanley toxic securities abuses 2016 NY-AG $550,000,000
Salomon Smith Barney Inc. investor protection violation 2002 MULTI-AG (*) $400,000,000
Morgan Stanley toxic securities abuses 2014 SEC $275,000,000
Morgan Stanley mortgage abuses 2013 FED $227,000,000
Morgan Stanley toxic securities abuses 2015 NCUA $225,000,000
Morgan Stanley investor protection violation 2019 CA-AG $150,000,000
Morgan Stanley & Co. Incorporated investor protection violation 2003 SEC $125,000,000
Morgan Stanley investor protection violation 2002 MULTI-AG (*) $125,000,000
Morgan Stanley & Co. toxic securities abuses 2010 MA-AG $102,000,000
Morgan Stanley & Co. LLC toxic securities abuses 2016 FDIC $62,950,000
Morgan Stanley Bank, N.A. banking violation 2020 OCC $60,000,000
Morgan Stanley employment discrimination 2004 EEOC $54,000,000
Morgan Stanley DW Inc. investor protection violation 2003 SEC $50,000,000
Morgan Stanley wage and hour violation 2009 private lawsuit-federal $50,000,000
Morgan Stanley DW Inc. investor protection violation 2003 FINRA (*) $50,000,000
Morgan Stanley employment discrimination 2007 private lawsuit-federal $46,000,000
Salomon Smith Barney Inc. investor protection violation 2000 SEC $45,000,000
Morgan Stanley wage and hour violation 2006 private lawsuit-federal $42,500,000
Morgan Stanley & Co. investor protection violation 2005 SEC $40,000,000
Morgan Stanley investor protection violation 2008 MULTI-FIN (*) $35,000,000
Smith Barney employment discrimination 2008 private lawsuit-federal $33,000,000
Morgan Stanley Mortgage Capital Holdings toxic securities abuses 2011 NV-AG $28,200,000
Morgan Stanley & Co. investor protection violation 2003 MULTI-FIN (*) $25,000,000
Morgan Stanley toxic securities abuses 2016 IL-AG $22,500,000
Morgan Stanley & Co. Incorporated investor protection violation 2007 SEC $17,000,000
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 Smith Barney LLC investor protection violation 2017 FINRA $13,030,000
Morgan Stanley Smith Barney investor protection violation 2017 SEC $13,000,000
Morgan Stanley & Co. investor protection violation 2007 FINRA $12,500,000
Morgan Stanley & Co. investor protection violation 2006 SEC $10,000,000
Morgan Stanley & Co. data submission deficiencies 2006 SEC $10,000,000
Morgan Stanley Smith Barney LLC anti-money-laundering deficiencies 2018 FINRA $10,000,000
Morgan Stanley Investment Management investor protection violation 2015 SEC $8,800,000
Morgan Stanley & Co. investor protection violation 2009 MULTI-FIN $8,500,000
Morgan Stanley Smith Barney investor protection violation 2017 SEC $8,000,000
Morgan Stanley mortgage abuses 2018 FED $8,000,000
Morgan Stanley & Co. Incorporated investor protection violation 2007 SEC $7,957,200
Morgan Stanley & Co. LLC investor protection violation 2016 SEC $7,500,000
Morgan Stanley & Co. Incorporated investor protection violation 2007 SEC $7,500,000
Morgan Stanley & Co. investor protection violation 2009 FINRA $7,200,000
Morgan Stanley & Co. LLC toxic securities abuses 2016 VA-AG $6,900,000
Morgan Stanley DW Inc. investor protection violation 2007 FINRA $6,100,000
Morgan Stanley DW, Inc. investor protection violation 2005 FINRA $6,100,000
Morgan Stanley wage and hour violation 2016 private lawsuit-federal $5,995,000
Morgan Stanley & Co. Inc. investor protection violation 2004 FINRA $5,390,000
Morgan Stanley investor protection violation 2012 CFTC $5,000,000
Smith Barney investor protection violation 2007 NJ-AG $5,000,000
Morgan Stanley Smith Barney LLC investor protection violation 2020 SEC $5,000,000
Morgan Stanley Smith Barney LLC investor protection violation 2014 CT-SEC $5,000,000
Morgan Stanley & Co. LLC investor protection violation 2012 MA-SEC $5,000,000
Smith Barney investor protection violation 2007 NJ-BOS $5,000,000
E*TRADE Securities LLC investor protection violation 2011 MULTI-FIN $5,000,000
Morgan Stanley Capital Services LLC investor protection violation 2020 CFTC $5,000,000
Morgan Stanley & Co. LLC investor protection violation 2020 SEC $5,000,000
Morgan Stanley Smith Barney LLC investor protection violation 2014 FINRA $5,000,000
Salomon Smith Barney investor protection violation 2002 FINRA $5,000,000
Morgan Stanley price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $4,800,000
Morgan Stanley Smith Barney LLC investor protection violation 2016 MS-SEC $4,743,815
Morgan Stanley wage and hour violation 2014 private lawsuit-federal $4,200,000
Morgan Stanley & Co. LLC investor protection violation 2014 SEC $4,000,000
Morgan Stanley & Co., LLC investor protection violation 2014 FINRA $4,000,000
Morgan Stanley Smith Barney investor protection violation 2018 SEC $3,600,000
Morgan Stanley Investment Management investor protection violation 2011 SEC $3,300,000
Morgan Stanley Smith Barney investor protection violation 2017 SEC $2,963,735
Morgan Stanley investor protection violation 2006 FINRA $2,900,000
Morgan Stanley & Co. investor protection violation 2005 FINRA $2,650,000
E*TRADE Securities investor protection violation 2014 SEC $2,500,000
Morgan Stanley & Co. Incorporated investor protection violation 2000 SEC $2,500,000
Saxon Mortgage Services Inc. mortgage abuses 2011 DOJ_CIVIL $2,350,000
Morgan Stanley Capital Group Inc. consumer protection violation 2009 FL-AG $2,275,000
Morgan Stanley DW Inc. investor protection violation 2004 FINRA $2,200,000
Morgan Stanley & Co., LLC investor protection violation 2012 FINRA $2,146,431
Morgan Stanley & Co. LLC investor protection violation 2015 FINRA $2,000,000
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
Morgan Stanley & Co. Incorporated investor protection violation 2002 FINRA (*) $1,650,000
Salomon Smith Barney Inc. investor protection violation 2002 FINRA (*) $1,650,000
Morgan Stanley investor protection violation 2011 NJ-AG $1,560,000
Morgan Stanley Smith Barney LLC investor protection violation 2019 SEC $1,545,758
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. investor protection violation 2006 SEC $1,500,000
E-Trade wage and hour violation 2012 private lawsuit-federal $1,500,000
Morgan Stanley & Co. toxic securities abuses 2008 MA-AG $1,500,000
Morgan Stanley Capital Group Inc. investor protection violation 2019 CFTC $1,500,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC investor protection violation 2011 FINRA $1,371,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC investor protection violation 2013 FINRA $1,188,000
Morgan Stanley Capital Group, Inc. environmental violation 2017 EPA $1,119,000
Morgan Stanley DW Inc. investor protection violation 2006 NY-AG $1,040,964
Morgan Stanley Smith Barney LLC investor protection violation 2016 SEC $1,000,000
Morgan Stanley Smith Barney LLC investor protection violation 2017 MA-SEC $1,000,000
Morgan Stanley Smith Barney FA Notes Holdings LLC consumer protection violation 2020 CA-DFPI $1,000,000
E-Trade Securities LLC and E-Trade Clearing LLC anti-money-laundering deficiencies 2009 FINRA $1,000,000
Morgan Stanley Smith Barney, LLC investor protection violation 2018 NH-BSR $983,284
Smith Barney investor protection violation 2007 NJ-AG $978,000
E-Trade wage and hour violation 2008 private lawsuit-federal $900,000
E-Trade Securities LLC investor protection violation 2016 FINRA $900,000
Morgan Stanley investor protection violation 2012 FINRA $817,754
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