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Violation Tracker Current Parent Company Summary

Current 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: $10,924,502,443
Number of records: 207
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$9,924,512,956171
competition-related offenses$403,066,6669
consumer-protection-related offenses$339,817,0009
employment-related offenses$255,530,00113
environment-related offenses$1,575,8205
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$5,124,050,00011
investor protection violation$4,729,462,956157
price-fixing or anti-competitive practices$403,066,6669
mortgage abuses$235,000,0002
employment discrimination$150,385,0006
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 a summary of this company's regulatory penalties in more than 50 other countries, see its Violation Tracker Global summary page 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.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
Morgan Stanleyinvestor protection violation2008MULTI-AG$3,535,000,000
Morgan Stanleytoxic securities abuses2016DOJ$2,600,000,000
Morgan Stanleytoxic securities abuses2014FHFA$1,250,000,000
Morgan Stanleytoxic securities abuses2016NY-AG$550,000,000
Salomon Smith Barney Inc.investor protection violation2002MULTI-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 Stanleytoxic securities abuses2014SEC$275,000,000
Morgan Stanleymortgage abuses2013FED$227,000,000
Morgan Stanleytoxic securities abuses2015NCUA$225,000,000
Morgan Stanleyprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Morgan Stanley & Co. LLCinvestor protection violation2024USAO$153,431,223
Morgan Stanleyinvestor protection violation2019CA-AG$150,000,000
Morgan Stanley & Co. Incorporatedinvestor protection violation2003SEC$125,000,000
Morgan Stanleyinvestor protection violation2002MULTI-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
Morgan Stanley & Co. LLCinvestor protection violation2022SEC$125,000,000
Morgan Stanleyprice-fixing or anti-competitive practices2024private lawsuit-federal$125,000,000
Morgan Stanley & Co.toxic securities abuses2010MA-AG$102,000,000
Morgan Stanley & Co.consumer protection violation2014private lawsuit-federal$95,000,000
Morgan Stanley & Co. LLCinvestor protection violation2024SEC$83,000,000
Morgan Stanleyinvestor protection violation2022CFTC$75,000,000
Morgan Stanley & Co. LLCtoxic securities abuses2016FDIC$62,950,000
Morgan Stanley Bank, N.A.banking violation2020OCC$60,000,000
Morgan Stanleyemployment discrimination2004EEOC$54,000,000
Morgan Stanley DW Inc.investor protection violation2003SEC$50,000,000
Morgan Stanleywage and hour violation2009private lawsuit-federal$50,000,000
Morgan Stanley DW Inc.investor protection violation2003FINRA(*)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 & Co. LLCprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Morgan Stanleyemployment discrimination2007private lawsuit-federal$46,000,000
Salomon Smith Barney Inc.investor protection violation2000SEC$45,000,000
Morgan Stanleywage and hour violation2006private lawsuit-federal$42,500,000
Morgan Stanley & Co.investor protection violation2005SEC$40,000,000
Morgan Stanleyinvestor protection violation2008MULTI-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 Smith Barney LLCinvestor protection violation2022SEC$35,000,000
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2018private lawsuit-federal$33,500,000
Smith Barneyemployment discrimination2008private lawsuit-federal$33,000,000
Morgan Stanley Mortgage Capital Holdingstoxic securities abuses2011NV-AG$28,200,000
Morgan Stanley & Co.investor protection violation2003MULTI-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 Stanleytoxic securities abuses2016IL-AG$22,500,000
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Morgan Stanley & Co. Incorporatedinvestor protection violation2007SEC$17,000,000
Morgan Stanleyemployment discrimination2008private lawsuit-federal$16,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2024SEC$15,000,000
Morgan Stanley Capital Groupinvestor protection violation2010CFTC$14,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2017FINRA$13,030,000
Morgan Stanley Smith Barneyinvestor protection violation2017SEC$13,000,000
Morgan Stanley & Co.investor protection violation2007FINRA$12,500,000
Morgan Stanley & Co.investor protection violation2006SEC$10,000,000
Morgan Stanley & Co.investor protection violation2006SEC$10,000,000
Morgan Stanley Smith Barney LLCanti-money-laundering deficiencies2018FINRA$10,000,000
Morgan Stanley Investment Managementinvestor protection violation2015SEC$8,800,000
Morgan Stanley & Co.investor protection violation2009MULTI-FIN$8,500,000
Morgan Stanley Smith Barneyinvestor protection violation2017SEC$8,000,000
Morgan Stanleymortgage abuses2018FED$8,000,000
Morgan Stanley & Co. Incorporatedinvestor protection violation2007SEC$7,957,200
Morgan Stanley & Co. LLCinvestor protection violation2016SEC$7,500,000
Morgan Stanley & Co. Incorporatedinvestor protection violation2007SEC$7,500,000
Morgan Stanley & Co.investor protection violation2009FINRA$7,200,000
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Morgan Stanley & Co. LLCtoxic securities abuses2016VA-AG$6,900,000
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2011private lawsuit-federal$6,500,000
Morgan Stanley Smith Barney LLCprivacy violation2023MULTI-AG$6,500,000
Morgan Stanley DW Inc.investor protection violation2007FINRA$6,100,000
Morgan Stanley DW, Inc.investor protection violation2005FINRA$6,100,000
Morgan Stanleywage and hour violation2016private lawsuit-federal$5,995,000
Morgan Stanley & Co. Inc.investor protection violation2004FINRA$5,390,000
Morgan Stanleyinvestor protection violation2012CFTC$5,000,000
Smith Barneyinvestor protection violation2007NJ-AG$5,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2020SEC$5,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2014CT-SEC$5,000,000
Morgan Stanley & Co. LLCinvestor protection violation2012MA-SEC$5,000,000
Smith Barneyinvestor protection violation2007NJ-BOS$5,000,000
E*TRADE Securities LLCinvestor protection violation2011MULTI-FIN$5,000,000
Morgan Stanley Capital Services LLCinvestor protection violation2020CFTC$5,000,000
Morgan Stanley & Co. LLCinvestor protection violation2020SEC$5,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2014FINRA$5,000,000
Salomon Smith Barneyinvestor protection violation2002FINRA$5,000,000
Morgan Stanleyprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$4,800,000
Morgan Stanley Smith Barney LLCinvestor protection violation2016MS-SEC$4,743,815
Morgan Stanleywage and hour violation2014private lawsuit-federal$4,200,000
Morgan Stanley & Co. LLCinvestor protection violation2014SEC$4,000,000
Morgan Stanley & Co., LLCinvestor protection violation2014FINRA$4,000,000
Morgan Stanley Smith Barneyinvestor protection violation2018SEC$3,600,000
Morgan Stanley Investment Managementinvestor protection violation2011SEC$3,300,000
Morgan Stanley Smith Barneyinvestor protection violation2017SEC$2,963,735
Morgan Stanleyinvestor protection violation2006FINRA$2,900,000
Morgan Stanley & Co.investor protection violation2005FINRA$2,650,000
E*TRADE Securitiesinvestor protection violation2014SEC$2,500,000
Morgan Stanley & Co. Incorporatedinvestor protection violation2000SEC$2,500,000
Morgan Stanley Capital Group Inc.consumer protection violation2009FL-AG$2,275,000
Morgan Stanley DW Inc.investor protection violation2004FINRA$2,200,000
Morgan Stanley & Co., LLCinvestor protection violation2012FINRA$2,146,431
Morgan Stanley & Co. LLCinvestor protection violation2015FINRA$2,000,000
Morgan Stanley DW Inc.investor protection violation2003FINRA$2,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2024MA-SEC$2,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2024MA-SEC$2,000,000
Morgan Stanley & Co. Incorporatedinvestor protection violation2002SEC$1,650,000
Salomon Smith Barney Inc.investor protection violation2002SEC$1,650,000
Morgan Stanley & Co. Incorporatedinvestor protection violation2002FINRA(*)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 violation2002FINRA(*)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
Morgan Stanley Smith Barney LLCinvestor protection violation2024FINRA$1,600,000
Morgan Stanleyinvestor protection violation2011NJ-AG$1,560,000
Morgan Stanley Smith Barney LLCinvestor protection violation2019SEC$1,545,758
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.