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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: $10,780,502,443
Number of records: 203
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$9,877,862,956163
consumer-protection-related offenses$339,817,0009
competition-related offenses$278,066,6668
employment-related offenses$255,530,00113
miscellaneous offenses$27,650,0005
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$5,124,050,00011
investor protection violation$4,682,812,956149
price-fixing or anti-competitive practices$278,066,6668
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: 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 TypeYearAgency sort iconPenalty Amount
Morgan Stanleywage and hour violation2016private lawsuit-federal$5,995,000
Morgan Stanleywage and hour violation2014private lawsuit-federal$4,200,000
E-Tradewage and hour violation2012private lawsuit-federal$1,500,000
Morgan Stanleywage and hour violation2009private lawsuit-federal$50,000,000
E-Tradewage and hour violation2008private lawsuit-federal$900,000
Morgan Stanleywage and hour violation2006private lawsuit-federal$42,500,000
Smith Barneyemployment discrimination2008private lawsuit-federal$33,000,000
Morgan Stanleyemployment discrimination2007private lawsuit-federal$46,000,000
Morgan Stanleyemployment discrimination2008private lawsuit-federal$750,000
Morgan Stanleyemployment discrimination2008private lawsuit-federal$16,000,000
Morgan Stanleyprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2018private lawsuit-federal$33,500,000
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2011private lawsuit-federal$6,500,000
Morgan Stanley & Co.consumer protection violation2014private lawsuit-federal$95,000,000
Solium Financial Services LLCinvestor protection violation2020AK-DBS$10,527
Solium Financial Services LLCinvestor protection violation2020AL-SEC$18,874
Solium Financial Services LLCinvestor protection violation2019AR-SEC$5,000
Morgan Stanleyinvestor protection violation2019CA-AG$150,000,000
Solium Financial Services LLCinvestor protection violation2020CA-DFPI$52,047
Morgan Stanley Smith Barney FA Notes Holdings LLCconsumer protection violation2020CA-DFPI$1,000,000
Morgan Stanleyinvestor protection violation2015CFTC$300,000
Morgan Stanley Smith Barneyinvestor protection violation2014CFTC$280,000
Morgan Stanley Smith Barneyinvestor protection violation2014CFTC$490,000
Morgan Stanley Capital Groupinvestor protection violation2014CFTC$200,000
Morgan Stanley Smith Barneyinvestor protection violation2012CFTC$200,000
Morgan Stanleyinvestor protection violation2012CFTC$5,000,000
Morgan Stanley Capital Groupdata submission deficiencies2010CFTC$14,000,000
E*TRADE Securities LLCinvestor protection violation2017CFTC$280,000
Morgan Stanleydata submission deficiencies2017CFTC$350,000
Morgan Stanleyinvestor protection violation2017CFTC$500,000
Morgan Stanley Capital Group Inc.investor protection violation2019CFTC$1,500,000
Morgan Stanley Capital Services LLCinvestor protection violation2020CFTC$5,000,000
Morgan Stanleyinvestor protection violation2022CFTC$75,000,000
Solium Financial Services LLCinvestor protection violation2020CO-SEC$69,338
E-Trade Financial Corporate Services, Inc.consumer protection violation2021CT-BKG$10,000
Morgan Stanley Smith Barney LLCinvestor protection violation2014CT-SEC$5,000,000
Solium Financial Services LLCinvestor protection violation2020CT-SEC$51,136
Solium Financial Servicesinvestor protection violation2021DC-DISB$9,879
Morgan Stanley DWinvestor protection violation2005DE-AG$700,000
Morgan Stanleytoxic securities abuses2016DOJ$2,600,000,000
Morgan Stanleyprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$4,800,000
E*Trade Group, Inc.benefit plan administrator violation2008EBSA$50,001
Morgan Stanleyemployment discrimination2004EEOC$54,000,000
Salomon Smith Barneyemployment discrimination2001EEOC$635,000
MORGAN STANLEYenvironmental violation2014EPA$10,000
Morgan Stanley Capital Group Inc.environmental violation2009EPA$405,000
Morgan Stanley Capital Group, Inc.environmental violation2017EPA$1,119,000
Morgan Stanley Capital Group, Inc.environmental violation2002EPA$7,500
Morgan Stanley & Co. LLCtoxic securities abuses2016FDIC$62,950,000
Morgan Stanleymortgage abuses2013FED$227,000,000
Morgan Stanleymortgage abuses2018FED$8,000,000
Morgan Stanleytoxic securities abuses2014FHFA$1,250,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2019FINRA$280,000
Morgan Stanley Smith Barney LLCanti-money-laundering deficiencies2018FINRA$10,000,000
E-Trade Securities, LLCinvestor protection violation2008FINRA$500,000
Morgan Stanley Smith Barney LLCinvestor protection violation2017FINRA$13,030,000
E-Trade Securities LLCinvestor protection violation2016FINRA$900,000
Morgan Stanley Smith Barney, LLCinvestor protection violation2015FINRA$650,000
Morgan Stanley & Co. LLCinvestor protection violation2015FINRA$2,000,000
Morgan Stanley & Co., LLCinvestor protection violation2014FINRA$4,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2014FINRA$5,000,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLCinvestor protection violation2013FINRA$1,188,000
Morgan Stanleyinvestor protection violation2012FINRA$817,754
Morgan Stanley & Co., LLCinvestor protection violation2012FINRA$2,146,431
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCinvestor protection violation2011FINRA$1,371,000
Morgan Stanley & Co., Inc.investor protection violation2010FINRA$800,000
Morgan Stanley & Co.investor protection violation2009FINRA$7,200,000
E-Trade Securities LLC and E-Trade Clearing LLCanti-money-laundering deficiencies2009FINRA$1,000,000
Morgan Stanley & Co.investor protection violation2007FINRA$12,500,000
Morgan Stanley DW Inc.investor protection violation2007FINRA$6,100,000
Morgan Stanley DW Inc.investor protection violation2006FINRA$100,000
Morgan Stanleyinvestor protection violation2006FINRA$2,900,000
Morgan Stanley & Co. Incorporatedinvestor protection violation2006FINRA$200,000
Morgan Stanley DW, Inc.investor protection violation2005FINRA$6,100,000
Morgan Stanley & Co.investor protection violation2005FINRA$2,650,000
Morgan Stanley DW Incinvestor protection violation2004FINRA$336,510
Morgan Stanley DW Inc.investor protection violation2004FINRA$2,200,000
Morgan Stanley DW Inc.investor protection violation2004FINRA$250,000
Morgan Stanley DW Inc.investor protection violation2004FINRA$38,312
Morgan Stanley & Co. Inc.investor protection violation2004FINRA$5,390,000
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 DW Inc.investor protection violation2003FINRA$2,000,000
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
Salomon Smith Barneyinvestor protection violation2002FINRA$5,000,000
E-Trade Securitiesinvestor protection violation2001FINRA$90,000
Morgan Stanley & Co. Inc.investor protection violation2000FINRA$200,000
E-TRADE Securities, Inc.investor protection violation2000FINRA$20,000
E-TRADE Securities, Inc.investor protection violation2000FINRA$20,000
Morgan Stanley & Co., Inc.investor protection violation2000FINRA$495,000
Morgan Stanley Smith Barney LLCinvestor protection violation2024FINRA$1,600,000
Morgan Stanley Capital Group Inc.consumer protection violation2009FL-AG$2,275,000
Solium Financial Services LLCinvestor protection violation2020FL-OFR$79,045
Solium Financial Services LLCinvestor protection violation2020GA-SEC$22,104
Solium Financial Services, LLCinvestor protection violation2020IA-INS$10,147
Morgan Stanley DW Inc.investor protection violation2006ID-SEC$415,000
Morgan Stanleytoxic securities abuses2016IL-AG$22,500,000
Solium Financial Services LLCinvestor protection violation2020IL-SEC$11,385
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.