Solium Financial Services, LLC | investor protection violation | 2020 | IA-INS | $10,147 |
Solium Financial Services, LLC | investor protection violation | 2020 | ME-SEC | $5,000 |
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 |
Solium Financial Services LLC | investor protection violation | 2020 | CA-DFPI | $52,047 |
Solium Financial Services LLC | investor protection violation | 2020 | CT-SEC | $51,136 |
Solium Financial Services LLC | investor protection violation | 2020 | GA-SEC | $22,104 |
Solium Financial Services LLC | investor protection violation | 2020 | IN-SEC | $15,575 |
Solium Financial Services LLC | investor protection violation | 2020 | MO-SEC | $9,130 |
Solium Financial Services LLC | consumer protection violation | 2019 | NE-DBF | $14,000 |
Solium Financial Services LLC | investor protection violation | 2020 | NH-BSR | $90,000 |
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 | TN-SEC | $12,994 |
Solium Financial Services LLC | investor protection violation | 2019 | VA-SEC | $10,000 |
Solium Financial Services LLC | investor protection violation | 2020 | VT-FIN | $6,900 |
Solium Financial Services LLC | investor protection violation | 2020 | WA-FIN | $33,753 |
Solium Financial Services LLC | investor protection violation | 2020 | FL-OFR | $79,045 |
Solium Financial Services LLC | investor protection violation | 2020 | PA-BKG | $52,372 |
Solium Financial Services LLC | investor protection violation | 2020 | SD-SEC | $5,750 |
Solium Financial Services LLC | investor protection violation | 2020 | TX-SEC | $46,073 |
Solium Financial Services LLC | investor protection violation | 2020 | CO-SEC | $69,338 |
Solium Financial Services LLC | investor protection violation | 2020 | IL-SEC | $11,385 |
Solium Financial Services LLC | investor protection violation | 2020 | KY-FIN | $5,465 |
Solium Financial Services LLC | investor protection violation | 2020 | MS-SEC | $6,000 |
Solium Financial Services LLC | investor protection violation | 2020 | MT-FIN | $14,700 |
Solium Financial Services LLC | investor protection violation | 2020 | NM-SEC | $6,500 |
Solium Financial Services LLC | investor protection violation | 2020 | RI-FIN | $6,500 |
Solium Financial Services LLC | investor protection violation | 2020 | SC-SEC | $28,007 |
Solium Financial Services | investor protection violation | 2021 | DC-DISB | $9,879 |
Smith Barney Fund Management LLC | investor protection violation | 2007 | SEC | $450,000 |
Smith Barney | employment discrimination | 2008 | private lawsuit-federal | $33,000,000 |
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 |
Salomon Smith Barney Inc. | data submission deficiencies | 2002 | SEC | $1,650,000 |
Salomon Smith Barney Inc. | investor protection violation | 2000 | SEC | $45,000,000 |
Salomon Smith Barney Inc. | 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. $400,000,000 |
Salomon Smith Barney Inc. | 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 |
Salomon Smith Barney | employment discrimination | 2001 | EEOC | $635,000 |
Salomon Smith Barney | investor protection violation | 2002 | FINRA | $5,000,000 |
Morgan Stanley Smith Barney, LLC | investor protection violation | 2019 | SEC | $225,000 |
Morgan Stanley Smith Barney, LLC | investor protection violation | 2018 | NH-BSR | $983,284 |
Morgan Stanley Smith Barney, LLC | investor protection violation | 2015 | FINRA | $650,000 |
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC | investor protection violation | 2013 | FINRA | $1,188,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2016 | SEC | $1,000,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2019 | SEC | $1,545,758 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2020 | SEC | $5,000,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2014 | CT-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 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2016 | MS-SEC | $4,743,815 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2018 | RI-FIN | $175,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2019 | FINRA | $280,000 |
Morgan Stanley Smith Barney LLC | anti-money-laundering deficiencies | 2018 | FINRA | $10,000,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2017 | FINRA | $13,030,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2014 | FINRA | $5,000,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2022 | SEC | $35,000,000 |
Morgan Stanley Smith Barney LLC | privacy violation | 2023 | MULTI-AG | $6,500,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2023 | ME-SEC | $5,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2024 | FINRA | $1,600,000 |
Morgan Stanley Smith Barney FA Notes Holdings LLC | consumer protection violation | 2020 | CA-DFPI | $1,000,000 |
Morgan Stanley Smith Barney | investor protection violation | 2014 | CFTC | $280,000 |
Morgan Stanley Smith Barney | investor protection violation | 2014 | CFTC | $490,000 |
Morgan Stanley Smith Barney | investor protection violation | 2012 | CFTC | $200,000 |
Morgan Stanley Smith Barney | investor protection violation | 2017 | SEC | $13,000,000 |
Morgan Stanley Smith Barney | investor protection violation | 2017 | SEC | $2,963,735 |
Morgan Stanley Smith Barney | investor protection violation | 2017 | SEC | $8,000,000 |
Morgan Stanley Smith Barney | investor protection violation | 2018 | SEC | $3,600,000 |
Morgan Stanley Smith Barney | investor protection violation | 2012 | NH-BSR | $35,000 |
Morgan Stanley Mortgage Capital Holdings | toxic securities abuses | 2011 | NV-AG | $28,200,000 |
Morgan Stanley Investment Management | investor protection violation | 2015 | SEC | $8,800,000 |
Morgan Stanley Investment Management | investor protection violation | 2011 | SEC | $3,300,000 |
Morgan Stanley DW, Inc. | investor protection violation | 2005 | FINRA | $6,100,000 |
Morgan Stanley DW Inc. | investor protection violation | 2003 | SEC | $50,000,000 |
Morgan Stanley DW Inc. | investor protection violation | 2006 | NY-AG | $1,040,964 |
Morgan Stanley DW Inc. | investor protection violation | 2006 | ID-SEC | $415,000 |
Morgan Stanley DW Inc. | investor protection violation | 2005 | NH-BSR | $435,000 |
Morgan Stanley DW Inc. | investor protection violation | 2004 | WA-FIN | $325,000 |
Morgan Stanley DW Inc. | investor protection violation | 2007 | FINRA | $6,100,000 |
Morgan Stanley DW Inc. | investor protection violation | 2006 | FINRA | $100,000 |
Morgan Stanley DW Inc. | investor protection violation | 2004 | FINRA | $2,200,000 |
Morgan Stanley DW Inc. | investor protection violation | 2004 | FINRA | $250,000 |
Morgan Stanley DW Inc. | investor protection violation | 2004 | FINRA | $38,312 |
Morgan Stanley DW Inc. | investor protection violation | 2003 | FINRA | (*)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 violation | 2003 | FINRA | $2,000,000 |
Morgan Stanley DW Inc | investor protection violation | 2004 | FINRA | $336,510 |
Morgan Stanley DW | investor protection violation | 2005 | DE-AG | $700,000 |
Morgan Stanley D.W., Inc. | investor protection violation | 2004 | KY-FIN | $100,000 |
Morgan Stanley Capital Services LLC | investor protection violation | 2020 | CFTC | $5,000,000 |
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 Capital Group Inc. | consumer protection violation | 2009 | FL-AG | $2,275,000 |
Morgan Stanley Capital Group Inc. | investor protection violation | 2019 | CFTC | $1,500,000 |
Morgan Stanley Capital Group Inc. | environmental violation | 2009 | EPA | $405,000 |
Morgan Stanley Capital Group | investor protection violation | 2014 | CFTC | $200,000 |
Morgan Stanley Capital Group | data submission deficiencies | 2010 | CFTC | $14,000,000 |
Morgan Stanley Capital Group | utility service violation | 2014 | TX-PUC | $18,000 |
Morgan Stanley Bank, N.A. | banking violation | 2020 | OCC | $60,000,000 |
Morgan Stanley & Co., LLC | investor protection violation | 2013 | NJ-AG | $100,000 |