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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
Solium Financial Services LLCinvestor protection violation2020WA-FIN$33,753
Morgan Stanley DW Inc.investor protection violation2004WA-FIN$325,000
Solium Financial Services LLCinvestor protection violation2020VT-FIN$6,900
Solium Financial Services LLCinvestor protection violation2019VA-SEC$10,000
Morgan Stanley & Co. LLCtoxic securities abuses2016VA-AG$6,900,000
Morgan Stanley & Co. LLCinvestor protection violation2024USAO$153,431,223
Morgan Stanley & Co. Inc.investor protection violation2008TX-SEC$400,000
Solium Financial Services LLCinvestor protection violation2020TX-SEC$46,073
Morgan Stanley Capital Grouputility service violation2014TX-PUC$18,000
Solium Financial Services LLCinvestor protection violation2020TN-SEC$12,994
Morgan Stanley Investment Managementinvestor protection violation2015SEC$8,800,000
Morgan Stanley & Co. LLCinvestor protection violation2014SEC$4,000,000
Morgan Stanleytoxic securities abuses2014SEC$275,000,000
Morgan Stanley Investment Managementinvestor protection violation2011SEC$3,300,000
Morgan Stanley Smith Barney LLCinvestor protection violation2016SEC$1,000,000
Morgan Stanley & Co. LLCinvestor protection violation2015SEC$500,000
E*TRADE Securitiesinvestor protection violation2014SEC$2,500,000
Morgan Stanleyinvestor protection violation2009SEC$500,000
Morgan Stanley & Co. Incorporatedinvestor protection violation2007SEC$7,957,200
Morgan Stanley & Co.investor protection violation2006SEC$10,000,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.investor protection violation2006SEC$1,500,000
Morgan Stanley & Co.data submission deficiencies2006SEC$10,000,000
Morgan Stanley & Co.investor protection violation2005SEC$40,000,000
Morgan Stanley DW Inc.investor protection violation2003SEC$50,000,000
Morgan Stanley & Co. Incorporatedinvestor protection violation2003SEC$125,000,000
Morgan Stanley & Co. Incorporateddata submission deficiencies2002SEC$1,650,000
Salomon Smith Barney Inc.data submission deficiencies2002SEC$1,650,000
Morgan Stanley & Co. Incorporatedinvestor protection violation2000SEC$2,500,000
Salomon Smith Barney Inc.investor protection violation2000SEC$45,000,000
Morgan Stanley & Co. LLCinvestor protection violation2016SEC$7,500,000
Morgan Stanley Smith Barneyinvestor protection violation2017SEC$13,000,000
Morgan Stanley Smith Barneyinvestor protection violation2017SEC$2,963,735
Morgan Stanley Smith Barneyinvestor protection violation2017SEC$8,000,000
Morgan Stanley Smith Barneyinvestor protection violation2018SEC$3,600,000
E*Trade Clearing LLCinvestor protection violation2008SEC$500,000
Morgan Stanley & Co. Incorporatedinvestor protection violation2007SEC$17,000,000
Morgan Stanley & Co. Incorporatedinvestor protection violation2007SEC$7,500,000
Smith Barney Fund Management LLCinvestor protection violation2007SEC$450,000
Dean Witter Reynolds Inc.investor protection violation2002SEC$500,000
Dean Witter Reynolds Inc.investor protection violation2000SEC$476,702
Morgan Stanley Smith Barney LLCinvestor protection violation2019SEC$1,545,758
Morgan Stanley Smith Barney, LLCinvestor protection violation2019SEC$225,000
Morgan Stanley Smith Barney LLCinvestor protection violation2020SEC$5,000,000
Morgan Stanley & Co. LLCinvestor protection violation2020SEC$5,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2022SEC$35,000,000
Morgan Stanley & Co. LLCinvestor protection violation2022SEC$125,000,000
Morgan Stanley & Co. LLCinvestor protection violation2024SEC$83,000,000
Solium Financial Services LLCinvestor protection violation2020SD-SEC$5,750
Morgan Stanley & Co. Inc.investor protection violation2011SC-SEC$30,000
Solium Financial Services LLCinvestor protection violation2020SC-SEC$28,007
Morgan Stanley & Co. Inc.investor protection violation2007RI-FIN$250,000
Morgan Stanley Smith Barney LLCinvestor protection violation2018RI-FIN$175,000
Solium Financial Services LLCinvestor protection violation2020RI-FIN$6,500
Solium Financial Services LLCinvestor protection violation2020PA-BKG$52,372
Solium Financial Services LLCinvestor protection violation2020OR-FIN$10,599
Solium Financial Services LLCinvestor protection violation2020OK-SEC$9,968
Morgan Stanley Bank, N.A.banking violation2020OCC$60,000,000
Morgan Stanleytoxic securities abuses2016NY-AG$550,000,000
Morgan Stanley DW Inc.investor protection violation2006NY-AG$1,040,964
Morgan Stanley Mortgage Capital Holdingstoxic securities abuses2011NV-AG$28,200,000
Solium Financial Services LLCinvestor protection violation2020NM-SEC$6,500
Durango Midstream, LLCenvironmental violation2023NM-ENV$34,320
Smith Barneyinvestor protection violation2007NJ-BOS$5,000,000
Morgan Stanleyinvestor protection violation2011NJ-AG$1,560,000
Morgan Stanley & Co., LLCinvestor protection violation2013NJ-AG$100,000
Smith Barneyinvestor protection violation2007NJ-AG$5,000,000
Smith Barneyinvestor protection violation2007NJ-AG$978,000
Morgan Stanleyinvestor protection violation2004NH-BSR$500,000
Morgan Stanley DW Inc.investor protection violation2005NH-BSR$435,000
Morgan Stanley Smith Barneyinvestor protection violation2012NH-BSR$35,000
Morgan Stanley Smith Barney, LLCinvestor protection violation2018NH-BSR$983,284
Solium Financial Services LLCinvestor protection violation2020NH-BSR$90,000
E*Trade Securities LLCinvestor protection violation2021NH-BSR$5,000
Eaton Vance Income Fund of Bostoninvestor protection violation2006NE-DBF$17,000
Solium Financial Services LLCconsumer protection violation2019NE-DBF$14,000
Morgan Stanleytoxic securities abuses2015NCUA$225,000,000
E*TRADE Securities LLCinvestor protection violation2011MULTI-FIN$5,000,000
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 & Co.investor protection violation2009MULTI-FIN$8,500,000
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
E*Tradeprice-fixing or anti-competitive practices2012MULTI-AG$100,000
Morgan Stanleyinvestor protection violation2008MULTI-AG$3,535,000,000
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
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 Stanley Smith Barney LLCprivacy violation2023MULTI-AG$6,500,000
Solium Financial Services LLCinvestor protection violation2020MT-FIN$14,700
Morgan Stanley Smith Barney LLCinvestor protection violation2016MS-SEC$4,743,815
Solium Financial Services LLCinvestor protection violation2020MS-SEC$6,000
Solium Financial Services LLCinvestor protection violation2020MO-SEC$9,130
Solium Financial Services, LLCinvestor protection violation2020ME-SEC$5,000
Morgan Stanley Smith Barney LLCinvestor protection violation2023ME-SEC$5,000
Morgan Stanley & Co. Inc.investor protection violation2008MD-SEC$35,000
Morgan Stanley & Co. Inc.investor protection violation2009MD-SEC$100,000
Morgan Stanley & Co. LLCinvestor protection violation2012MA-SEC$5,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2017MA-SEC$1,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2019MA-SEC$382,500
Morgan Stanley & Co.toxic securities abuses2010MA-AG$102,000,000
Morgan Stanley & Co.toxic securities abuses2008MA-AG$1,500,000
Morgan Stanley D.W., Inc.investor protection violation2004KY-FIN$100,000
Solium Financial Services LLCinvestor protection violation2020KY-FIN$5,465
Morgan Stanley & Co. Inc.investor protection violation2012IN-SEC$210,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.