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: 
$9,755,253,952
Number of records: 
128
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$9,465,793,952102
employment-related offenses$253,080,00010
miscellaneous offenses$27,650,0005
competition-related offenses$4,800,0001
consumer-protection-related offenses$2,375,0004
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$5,124,050,00011
investor protection violation$4,104,393,95288
mortgage abuses$237,350,0003
employment discrimination$150,385,0006
wage and hour violation$102,695,0004
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.

Associated Names: 

Dean Witter Reynolds Inc.; MORGAN STANLEY; MORGAN STANLEY - 140 58TH ST; MORGAN STANLEY - 2000 WESTCHESTER AVE; MORGAN STANLEY AND / MORGAN STANLEY DW; Morgan Stanley DW Inc.; MORGAN STANLEY INVESTMENT MGT; Morgan Stanley Mortgage Capital Holdings; SALOMON SMITH BARNEY; Saxon Mortgage Services, Inc.; Smith Barney; Solium Financial Services LLC

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.
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Company Primary Offense Type Year Agencysort icon Penalty Amount
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
Morgan Stanley wage and hour violation 2009 private lawsuit-federal $50,000,000
Morgan Stanley wage and hour violation 2006 private lawsuit-federal $42,500,000
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
Solium Financial Services LLC investor protection violation 2020 AK-DBS $10,527
Solium Financial Services LLC investor protection violation 2020 AL-SEC $18,874
Solium Financial Services LLC investor protection violation 2019 AR-SEC $5,000
Morgan Stanley investor protection violation 2019 CA-AG $150,000,000
Solium Financial Services LLC investor protection violation 2020 CA-DBO $52,047
Morgan Stanley investor protection violation 2015 CFTC $300,000
Morgan Stanley Smith Barney investor protection violation 2014 CFTC $280,000
Morgan Stanley Smith Barney investor protection violation 2014 CFTC $490,000
Morgan Stanley Capital Group investor protection violation 2014 CFTC $200,000
Morgan Stanley Smith Barney investor protection violation 2012 CFTC $200,000
Morgan Stanley investor protection violation 2012 CFTC $5,000,000
Morgan Stanley Capital Group data submission deficiencies 2010 CFTC $14,000,000
Morgan Stanley data submission deficiencies 2017 CFTC $350,000
Morgan Stanley investor protection violation 2017 CFTC $500,000
Morgan Stanley Capital Group Inc. investor protection violation 2019 CFTC $1,500,000
Morgan Stanley Smith Barney LLC investor protection violation 2014 CT-SEC $5,000,000
Solium Financial Services LLC investor protection violation 2020 CT-SEC $51,136
Morgan Stanley DW investor protection violation 2005 DE-AG $700,000
Morgan Stanley toxic securities abuses 2016 DOJ $2,600,000,000
Morgan Stanley price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $4,800,000
Saxon Mortgage Services Inc. mortgage abuses 2011 DOJ_CIVIL $2,350,000
Morgan Stanley employment discrimination 2004 EEOC $54,000,000
Salomon Smith Barney employment discrimination 2001 EEOC $635,000
MORGAN STANLEY - 140 58TH ST environmental violation 2003 EPA $7,500
MORGAN STANLEY - 2000 WESTCHESTER AVE environmental violation 2011 EPA $6,000
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 & Co. LLC toxic securities abuses 2016 FDIC $62,950,000
Morgan Stanley mortgage abuses 2013 FED $227,000,000
Morgan Stanley mortgage abuses 2018 FED $8,000,000
Morgan Stanley toxic securities abuses 2014 FHFA $1,250,000,000
Morgan Stanley Capital Group Inc. consumer protection violation 2009 FL-AG $2,275,000
Saxon Mortgage Services, Inc. consumer protection violation 2012 FL-OFR $15,000
Solium Financial Services LLC investor protection violation 2020 FL-OFR $79,045
Solium Financial Services LLC investor protection violation 2020 GA-SEC $22,104
Solium Financial Services, LLC investor protection violation 2020 IA-INS $10,147
Morgan Stanley DW Inc. investor protection violation 2006 ID-SEC $415,000
Morgan Stanley toxic securities abuses 2016 IL-AG $22,500,000
Morgan Stanley & Co. Inc. investor protection violation 2012 IN-SEC $210,000
Solium Financial Services LLC investor protection violation 2020 IN-SEC $15,575
Morgan Stanley D.W., Inc. investor protection violation 2004 KY-FIN $100,000
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 investor protection violation 2012 MA-SEC $5,000,000
Morgan Stanley Smith Barney LLC investor protection violation 2017 MA-SEC $1,000,000
Morgan Stanley Smith Barney LLC investor protection violation 2019 MA-SEC $382,500
Saxon Mortgage Services consumer protection violation 2010 MD-FIN $71,000
Morgan Stanley & Co. Inc. investor protection violation 2008 MD-SEC $35,000
Morgan Stanley & Co. Inc. investor protection violation 2009 MD-SEC $100,000
Solium Financial Services, LLC investor protection violation 2020 ME-SEC $5,000
Solium Financial Services LLC investor protection violation 2020 MO-SEC $9,130
Morgan Stanley Smith Barney LLC investor protection violation 2016 MS-SEC $4,743,815
Morgan Stanley investor protection violation 2008 MULTI-AG $3,535,000,000
Morgan Stanley investor protection violation 2002 MULTI-AG (*) $125,000,000
Salomon Smith Barney Inc. investor protection violation 2002 MULTI-AG (*) $400,000,000
Morgan Stanley investor protection violation 2008 MULTI-FIN (*) $35,000,000
Morgan Stanley & Co. investor protection violation 2009 MULTI-FIN $8,500,000
Morgan Stanley & Co. investor protection violation 2003 MULTI-FIN (*) $25,000,000
Morgan Stanley toxic securities abuses 2015 NCUA $225,000,000
Solium Financial Services LLC consumer protection violation 2019 NE-DBF $14,000
Morgan Stanley investor protection violation 2004 NH-BSR $500,000
Morgan Stanley DW Inc. investor protection violation 2005 NH-BSR $435,000
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
Morgan Stanley investor protection violation 2011 NJ-AG $1,560,000
Morgan Stanley & Co., LLC investor protection violation 2013 NJ-AG $100,000
Smith Barney investor protection violation 2007 NJ-AG $5,000,000
Smith Barney investor protection violation 2007 NJ-AG $978,000
Smith Barney investor protection violation 2007 NJ-BOS $5,000,000
Morgan Stanley Mortgage Capital Holdings toxic securities abuses 2011 NV-AG $28,200,000
Morgan Stanley toxic securities abuses 2016 NY-AG $550,000,000
Morgan Stanley DW Inc. investor protection violation 2006 NY-AG $1,040,964
Solium Financial Services LLC investor protection violation 2020 OK-SEC $9,968
Solium Financial Services LLC investor protection violation 2020 OR-FIN $10,599
Solium Financial Services LLC investor protection violation 2020 PA-BKG $52,372
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 SD-SEC $5,750
Morgan Stanley Investment Management investor protection violation 2015 SEC $8,800,000
Morgan Stanley & Co. LLC investor protection violation 2014 SEC $4,000,000
Morgan Stanley toxic securities abuses 2014 SEC $275,000,000
Morgan Stanley Investment Management investor protection violation 2011 SEC $3,300,000
Morgan Stanley Smith Barney LLC investor protection violation 2016 SEC $1,000,000
Morgan Stanley & Co. LLC investor protection violation 2015 SEC $500,000
Morgan Stanley investor protection violation 2009 SEC $500,000
Morgan Stanley & Co. Incorporated investor protection violation 2007 SEC $7,957,200
Morgan Stanley & Co. investor protection violation 2006 SEC $10,000,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. investor protection violation 2006 SEC $1,500,000
Morgan Stanley & Co. data submission deficiencies 2006 SEC $10,000,000
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