Mizuho Securities USA LLC | Mizuho Financial | investor protection violation | 2018 | SEC | $1,250,000 |
Mizuho Securities USA LLC | Mizuho Financial | investor protection violation | 2023 | SEC | $25,000,000 |
MLD Mortgage Inc. dba The Money Store | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2009 | PA-BKG | $5,000 |
MLD Mortgage Inc. dba The Money Store | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2010 | PA-BKG | $5,000 |
MLD Mortgage Inc. dba The Money Store | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2011 | PA-BKG | $27,500 |
MLD Mortgage Inc. dba The Money Store | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2016 | PA-BKG | $55,000 |
MLD Mortgage Inc. dba The Money Store | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2018 | MULTI-FIN | $720,000 |
MLD Mortgage, Inc. d/b/a The Money Store and Mortgage Loan Direct | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2016 | WA-FIN | $407,103 |
MLD Mortgage, Inc. dba The Money Store dba Mortgage Lending Direct | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2017 | CA-DFPI | $30,000 |
MML Investor Services, Inc. | Massachusetts Mutual Life Insurance | investor protection violation | 2004 | FINRA | $250,000 |
MML Investors Services LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2015 | PA-BKG | $100,000 |
MML Investors Services LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2012 | RI-FIN | $250,000 |
MML Investors Services, Inc. | Massachusetts Mutual Life Insurance | investor protection violation | 2007 | FINRA | $473,000 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2021 | MA-SEC | $4,000,000 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2021 | SEC | $2,109,458 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2022 | MA-SEC | $262,092 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2023 | MI-SEC | $10,000 |
MONUMENTAL LIFE INSURANCE CO | Aegon | insurance violation | 2001 | VA-INS | $5,000 |
Monumental Life Insurance Co. | Aegon | insurance violation | 2015 | AZ-DIFI | $57,000 |
Monumental Life Insurance Co. | Aegon | insurance violation | 2011 | MD-INS | $9,000 |
Monumental Life Insurance Co. | Aegon | insurance violation | 2009 | MO-INS | $26,001 |
Monumental Life Insurance Co. | Aegon | insurance violation | 2003 | MS-INS | $24,351 |
Monumental Life Insurance Company | Aegon | insurance violation | 2008 | NJ-DBI | $250,000 |
Monumental Life Insurance Company | Aegon | insurance violation | 2003 | MULTI-FIN | $37,000,000 |
MONY Life Insurance Co. | Dai-ichi Life | consumer protection violation | 2000 | CT-AG | $250,000 |
Morgan Keegan & Co. | Raymond James Financial | investor protection violation | 2005 | AL-SEC | $100,000 |
Morgan Keegan & Co. | Raymond James Financial | investor protection violation | 2010 | AL-SEC | $15,000 |
Morgan Keegan & Co. | Raymond James Financial | investor protection violation | 2017 | AL-SEC | $20,000 |
Morgan Keegan & Co. | Raymond James Financial | investor protection violation | 2012 | AR-SEC | $59,659 |
Morgan Keegan & Co. Inc. | Raymond James Financial | investor protection violation | 2010 | RI-FIN | $20,000 |
Morgan Keegan & Co., Inc. | Raymond James Financial | investor protection violation | 2004 | SEC | $875,000 |
Morgan Keegan & Co., Inc. | Raymond James Financial | investor protection violation | 2006 | SEC | $558,806 |
Morgan Keegan & Company | Raymond James Financial | toxic securities abuses | 2011 | SEC | $200,000,000 |
Morgan Keegan & Company | Raymond James Financial | toxic securities abuses | 2013 | 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. $100,000,000 |
Morgan Keegan & Company, Inc. | Raymond James Financial | investor protection violation | 2006 | SEC | $125,000 |
Morgan Keegan & Company, Inc. | Raymond James Financial | investor protection violation | 2016 | MO-SEC | $850,000 |
Morgan Keegan & Company, Inc. | Raymond James Financial | investor protection violation | 2007 | MS-SEC | $12,500 |
Morgan Keegan and Co. Inc. | Raymond James Financial | benefit plan administrator violation | 2012 | EBSA | $633,715 |
Morgan Stanley | Morgan Stanley | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $4,800,000 |
Morgan Stanley | Morgan Stanley | mortgage abuses | 2013 | FED | $227,000,000 |
Morgan Stanley | Morgan Stanley | toxic securities abuses | 2016 | DOJ | $2,600,000,000 |
Morgan Stanley | Morgan Stanley | toxic securities abuses | 2014 | SEC | $275,000,000 |
Morgan Stanley | Morgan Stanley | toxic securities abuses | 2014 | FHFA | $1,250,000,000 |
Morgan Stanley | Morgan Stanley | toxic securities abuses | 2015 | NCUA | $225,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2015 | CFTC | $300,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2012 | CFTC | $5,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2009 | SEC | $500,000 |
Morgan Stanley | Morgan Stanley | employment discrimination | 2004 | EEOC | $54,000,000 |
Morgan Stanley | Morgan Stanley | data submission deficiencies | 2017 | CFTC | $350,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2017 | CFTC | $500,000 |
Morgan Stanley | Morgan Stanley | mortgage abuses | 2018 | FED | $8,000,000 |
Morgan Stanley | Morgan Stanley | wage and hour violation | 2016 | private lawsuit-federal | $5,995,000 |
Morgan Stanley | Morgan Stanley | wage and hour violation | 2014 | private lawsuit-federal | $4,200,000 |
Morgan Stanley | Morgan Stanley | wage and hour violation | 2009 | private lawsuit-federal | $50,000,000 |
Morgan Stanley | Morgan Stanley | wage and hour violation | 2006 | private lawsuit-federal | $42,500,000 |
Morgan Stanley | Morgan Stanley | employment discrimination | 2007 | private lawsuit-federal | $46,000,000 |
Morgan Stanley | Morgan Stanley | employment discrimination | 2008 | private lawsuit-federal | $750,000 |
Morgan Stanley | Morgan Stanley | employment discrimination | 2008 | private lawsuit-federal | $16,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2008 | MULTI-AG | $3,535,000,000 |
Morgan Stanley | 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 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2019 | CA-AG | $150,000,000 |
Morgan Stanley | Morgan Stanley | toxic securities abuses | 2016 | IL-AG | $22,500,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2011 | NJ-AG | $1,560,000 |
Morgan Stanley | Morgan Stanley | toxic securities abuses | 2016 | NY-AG | $550,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2004 | NH-BSR | $500,000 |
Morgan Stanley | 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 | Morgan Stanley | investor protection violation | 2012 | FINRA | $817,754 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2006 | FINRA | $2,900,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2022 | CFTC | $75,000,000 |
Morgan Stanley | Morgan Stanley | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
MORGAN STANLEY | Morgan Stanley | environmental violation | 2014 | EPA | $10,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2006 | SEC | $10,000,000 |
Morgan Stanley & Co. | Morgan Stanley | data submission deficiencies | 2006 | SEC | $10,000,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2005 | SEC | $40,000,000 |
Morgan Stanley & Co. | Morgan Stanley | toxic securities abuses | 2010 | MA-AG | $102,000,000 |
Morgan Stanley & Co. | Morgan Stanley | toxic securities abuses | 2008 | MA-AG | $1,500,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2009 | MULTI-FIN | $8,500,000 |
Morgan Stanley & Co. | Morgan Stanley | 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 & Co. | Morgan Stanley | investor protection violation | 2009 | FINRA | $7,200,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2007 | FINRA | $12,500,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2005 | FINRA | $2,650,000 |
Morgan Stanley & Co. | Morgan Stanley | consumer protection violation | 2014 | private lawsuit-federal | $95,000,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2012 | IN-SEC | $210,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2008 | MD-SEC | $35,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2009 | MD-SEC | $100,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2007 | RI-FIN | $250,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2011 | SC-SEC | $30,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2008 | TX-SEC | $400,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2004 | FINRA | $5,390,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $200,000 |
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2011 | FINRA | $1,371,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2007 | SEC | $7,957,200 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2003 | SEC | $125,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | data submission deficiencies | 2002 | SEC | $1,650,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2000 | SEC | $2,500,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2007 | SEC | $17,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2007 | SEC | $7,500,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2006 | FINRA | $200,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | 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 |
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2006 | SEC | $1,500,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | toxic securities abuses | 2016 | FDIC | $62,950,000 |