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: 
$9,711,665,637
Number of records: 
76
Top 10 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$5,124,050,00011
investor protection violation$3,941,300,43723
mortgage abuses$237,350,0003
employment discrimination$150,385,0006
wage and hour violation$102,695,0004
securities issuance or trading violation$101,947,2009
data submission deficiencies$27,650,0005
financial institution supervision failures$17,658,0007
price-fixing or anti-competitive practices$4,800,0001
consumer protection violation$2,275,0001
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 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; MORGAN STANLEY INVESTMENT MANAGEMENT; MORGAN STANLEY INVESTMENT MGT; Morgan Stanley Mortgage Capital Holdings; SALOMON SMITH BARNEY; Smith Barney

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 Yearsort icon Agency Penalty Amount
Morgan Stanley & Co. Incorporated securities issuance or trading violation 2000 SEC $2,500,000
Salomon Smith Barney Inc. securities issuance or trading violation 2000 SEC $45,000,000
Dean Witter Reynolds Inc. investor protection violation 2000 SEC $476,702
Salomon Smith Barney employment discrimination 2001 EEOC $635,000
Morgan Stanley & Co. Incorporated data submission deficiencies 2002 SEC $1,650,000
Salomon Smith Barney Inc. data submission deficiencies 2002 SEC $1,650,000
Morgan Stanley Capital Group, Inc. environmental violation 2002 EPA $7,500
Dean Witter Reynolds Inc. investor protection violation 2002 SEC $500,000
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 DW Inc. investor protection violation 2003 SEC $50,000,000
Morgan Stanley & Co. Incorporated investor protection violation 2003 SEC $125,000,000
MORGAN STANLEY - 140 58TH ST environmental violation 2003 EPA $7,500
Morgan Stanley employment discrimination 2004 EEOC $54,000,000
Morgan Stanley & Co. securities issuance or trading violation 2005 SEC $40,000,000
Morgan Stanley DW financial institution supervision failures 2005 DE-AG $700,000
Morgan Stanley & Co. financial institution supervision failures 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
Morgan Stanley wage and hour violation 2006 private lawsuit-federal $42,500,000
Morgan Stanley & Co. Incorporated securities issuance or trading violation 2007 SEC $7,957,200
Morgan Stanley & Co. Incorporated investor protection violation 2007 SEC $17,000,000
Morgan Stanley & Co. Incorporated investor protection violation 2007 SEC $7,500,000
Morgan Stanley employment discrimination 2007 private lawsuit-federal $46,000,000
Smith Barney financial institution supervision failures 2007 NJ-AG $5,000,000
Smith Barney financial institution supervision failures 2007 NJ-AG $978,000
Smith Barney employment discrimination 2008 private lawsuit-federal $33,000,000
Morgan Stanley employment discrimination 2008 private lawsuit-federal $750,000
Morgan Stanley employment discrimination 2008 private lawsuit-federal $16,000,000
Morgan Stanley investor protection violation 2008 MULTI-AG $3,535,000,000
Morgan Stanley & Co. toxic securities abuses 2008 MA-AG $1,500,000
Morgan Stanley investor protection violation 2009 SEC $500,000
Morgan Stanley wage and hour violation 2009 private lawsuit-federal $50,000,000
Morgan Stanley Capital Group Inc. environmental violation 2009 EPA $405,000
Morgan Stanley Capital Group Inc. consumer protection violation 2009 FL-AG $2,275,000
Morgan Stanley Capital Group data submission deficiencies 2010 CFTC $14,000,000
Morgan Stanley & Co. toxic securities abuses 2010 MA-AG $102,000,000
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 Investment Management investor protection violation 2011 SEC $3,300,000
MORGAN STANLEY - 2000 WESTCHESTER AVE environmental violation 2011 EPA $6,000
Morgan Stanley investor protection violation 2011 NJ-AG $1,560,000
Morgan Stanley Mortgage Capital Holdings toxic securities abuses 2011 NV-AG $28,200,000
Morgan Stanley Smith Barney financial institution supervision failures 2012 CFTC $200,000
Morgan Stanley securities issuance or trading violation 2012 CFTC $5,000,000
Morgan Stanley mortgage abuses 2013 FED $227,000,000
Morgan Stanley & Co., LLC investor protection violation 2013 NJ-AG $100,000
Morgan Stanley & Co. LLC investor protection violation 2014 SEC $4,000,000
Morgan Stanley toxic securities abuses 2014 SEC $275,000,000
Morgan Stanley toxic securities abuses 2014 FHFA $1,250,000,000
Morgan Stanley Smith Barney financial institution supervision failures 2014 CFTC $280,000
Morgan Stanley Smith Barney securities issuance or trading violation 2014 CFTC $490,000
Morgan Stanley Capital Group securities issuance or trading violation 2014 CFTC $200,000
Morgan Stanley wage and hour violation 2014 private lawsuit-federal $4,200,000
MORGAN STANLEY environmental violation 2014 EPA $10,000
Morgan Stanley Investment Management investor protection violation 2015 SEC $8,800,000
Morgan Stanley toxic securities abuses 2015 NCUA $225,000,000
Morgan Stanley securities issuance or trading violation 2015 CFTC $300,000
Morgan Stanley & Co. LLC securities issuance or trading violation 2015 SEC $500,000
Morgan Stanley & Co. LLC toxic securities abuses 2016 FDIC $62,950,000
Morgan Stanley toxic securities abuses 2016 DOJ_CIVIL $2,600,000,000
Morgan Stanley Smith Barney LLC investor protection violation 2016 SEC $1,000,000
Morgan Stanley & Co. LLC investor protection violation 2016 SEC $7,500,000
Morgan Stanley wage and hour violation 2016 private lawsuit-federal $5,995,000
Morgan Stanley toxic securities abuses 2016 IL-AG $22,500,000
Morgan Stanley toxic securities abuses 2016 NY-AG $550,000,000
Morgan Stanley & Co. LLC toxic securities abuses 2016 VA-AG $6,900,000
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 data submission deficiencies 2017 CFTC $350,000
Morgan Stanley financial institution supervision failures 2017 CFTC $500,000
Morgan Stanley Capital Group, Inc. environmental violation 2017 EPA $1,119,000
Morgan Stanley mortgage abuses 2018 FED $8,000,000
Morgan Stanley Smith Barney investor protection violation 2018 SEC $3,600,000
Morgan Stanley investor protection violation 2019 CA-AG $150,000,000
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