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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 TypeYear sort iconAgencyPenalty Amount
Morgan Stanley & Co. Incorporatedinvestor protection violation2000SEC$2,500,000
Salomon Smith Barney Inc.investor protection violation2000SEC$45,000,000
Dean Witter Reynolds Inc.investor protection violation2000SEC$476,702
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
Salomon Smith Barneyemployment discrimination2001EEOC$635,000
E-Trade Securitiesinvestor protection violation2001FINRA$90,000
Morgan Stanley & Co. Incorporateddata submission deficiencies2002SEC$1,650,000
Salomon Smith Barney Inc.data submission deficiencies2002SEC$1,650,000
Dean Witter Reynolds Inc.investor protection violation2002SEC$500,000
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 & 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
Morgan Stanley Capital Group, Inc.environmental violation2002EPA$7,500
Morgan Stanley DW Inc.investor protection violation2003SEC$50,000,000
Morgan Stanley & Co. Incorporatedinvestor protection violation2003SEC$125,000,000
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
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 Stanleyemployment discrimination2004EEOC$54,000,000
Morgan Stanley D.W., Inc.investor protection violation2004KY-FIN$100,000
Morgan Stanleyinvestor protection violation2004NH-BSR$500,000
Morgan Stanley DW Inc.investor protection violation2004WA-FIN$325,000
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 & Co.investor protection violation2005SEC$40,000,000
Morgan Stanley DWinvestor protection violation2005DE-AG$700,000
Morgan Stanley DW Inc.investor protection violation2005NH-BSR$435,000
Morgan Stanley DW, Inc.investor protection violation2005FINRA$6,100,000
Morgan Stanley & Co.investor protection violation2005FINRA$2,650,000
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 Stanleywage and hour violation2006private lawsuit-federal$42,500,000
Morgan Stanley DW Inc.investor protection violation2006NY-AG$1,040,964
Morgan Stanley DW Inc.investor protection violation2006ID-SEC$415,000
Eaton Vance Income Fund of Bostoninvestor protection violation2006NE-DBF$17,000
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 & Co. Incorporatedinvestor protection violation2007SEC$7,957,200
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
Morgan Stanleyemployment discrimination2007private lawsuit-federal$46,000,000
Smith Barneyinvestor protection violation2007NJ-AG$5,000,000
Smith Barneyinvestor protection violation2007NJ-AG$978,000
Smith Barneyinvestor protection violation2007NJ-BOS$5,000,000
Morgan Stanley & Co. Inc.investor protection violation2007RI-FIN$250,000
Morgan Stanley & Co.investor protection violation2007FINRA$12,500,000
Morgan Stanley DW Inc.investor protection violation2007FINRA$6,100,000
E*Trade Group, Inc.benefit plan administrator violation2008EBSA$50,001
E-Tradewage and hour violation2008private lawsuit-federal$900,000
E*Trade Clearing LLCinvestor protection violation2008SEC$500,000
Smith Barneyemployment discrimination2008private lawsuit-federal$33,000,000
Morgan Stanleyemployment discrimination2008private lawsuit-federal$750,000
Morgan Stanleyemployment discrimination2008private lawsuit-federal$16,000,000
Morgan Stanleyinvestor protection violation2008MULTI-AG$3,535,000,000
Morgan Stanley & Co.toxic securities abuses2008MA-AG$1,500,000
Morgan Stanley & Co. Inc.investor protection violation2008MD-SEC$35,000
Morgan Stanley & Co. Inc.investor protection violation2008TX-SEC$400,000
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
E-Trade Securities, LLCinvestor protection violation2008FINRA$500,000
Morgan Stanleyinvestor protection violation2009SEC$500,000
Morgan Stanleywage and hour violation2009private lawsuit-federal$50,000,000
Morgan Stanley Capital Group Inc.consumer protection violation2009FL-AG$2,275,000
Morgan Stanley & Co. Inc.investor protection violation2009MD-SEC$100,000
Morgan Stanley & Co.investor protection violation2009MULTI-FIN$8,500,000
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 Capital Group Inc.environmental violation2009EPA$405,000
Morgan Stanley Capital Groupdata submission deficiencies2010CFTC$14,000,000
Morgan Stanley & Co.toxic securities abuses2010MA-AG$102,000,000
Morgan Stanley & Co., Inc.investor protection violation2010FINRA$800,000
Morgan Stanleyprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$4,800,000
Morgan Stanley Investment Managementinvestor protection violation2011SEC$3,300,000
Morgan Stanleyinvestor protection violation2011NJ-AG$1,560,000
Morgan Stanley Mortgage Capital Holdingstoxic securities abuses2011NV-AG$28,200,000
Morgan Stanley & Co. Inc.investor protection violation2011SC-SEC$30,000
E*TRADE Securities LLCinvestor protection violation2011MULTI-FIN$5,000,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCinvestor protection violation2011FINRA$1,371,000
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2011private lawsuit-federal$6,500,000
Morgan Stanley Smith Barneyinvestor protection violation2012CFTC$200,000
Morgan Stanleyinvestor protection violation2012CFTC$5,000,000
E-Tradewage and hour violation2012private lawsuit-federal$1,500,000
E*Tradeprice-fixing or anti-competitive practices2012MULTI-AG$100,000
Morgan Stanley & Co. Inc.investor protection violation2012IN-SEC$210,000
Morgan Stanley & Co. LLCinvestor protection violation2012MA-SEC$5,000,000
Morgan Stanley Smith Barneyinvestor protection violation2012NH-BSR$35,000
Morgan Stanleyinvestor protection violation2012FINRA$817,754
Morgan Stanley & Co., LLCinvestor protection violation2012FINRA$2,146,431
Morgan Stanleymortgage abuses2013FED$227,000,000
Morgan Stanley & Co., LLCinvestor protection violation2013NJ-AG$100,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLCinvestor protection violation2013FINRA$1,188,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.