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: 
$9,755,253,952
Number of records: 
128
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$9,465,793,952102
employment-related offenses$253,080,00010
miscellaneous offenses$27,650,0005
competition-related offenses$4,800,0001
consumer-protection-related offenses$2,375,0004
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$5,124,050,00011
investor protection violation$4,104,393,95288
mortgage abuses$237,350,0003
employment discrimination$150,385,0006
wage and hour violation$102,695,0004
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.

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 Inc.; MORGAN STANLEY INVESTMENT MGT; Morgan Stanley Mortgage Capital Holdings; SALOMON SMITH BARNEY; Saxon Mortgage Services, Inc.; Smith Barney; Solium Financial Services LLC

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 investor protection violation 2019 CA-AG $150,000,000
Morgan Stanley Capital Group Inc. investor protection violation 2019 CFTC $1,500,000
Morgan Stanley Smith Barney LLC investor protection violation 2019 SEC $1,545,758
Morgan Stanley Smith Barney, LLC investor protection violation 2019 SEC $225,000
Solium Financial Services LLC investor protection violation 2019 AR-SEC $5,000
Morgan Stanley Smith Barney LLC investor protection violation 2019 MA-SEC $382,500
Solium Financial Services LLC consumer protection violation 2019 NE-DBF $14,000
Solium Financial Services LLC investor protection violation 2019 VA-SEC $10,000
Morgan Stanley Smith Barney LLC investor protection violation 2020 SEC $5,000,000
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 2020 CA-DBO $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 IA-INS $10,147
Solium Financial Services LLC investor protection violation 2020 IN-SEC $15,575
Solium Financial Services, LLC investor protection violation 2020 ME-SEC $5,000
Solium Financial Services LLC investor protection violation 2020 MO-SEC $9,130
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 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
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