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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. LLCinvestor protection violation2024USAO$153,431,223
Morgan Stanley & Co. LLCinvestor protection violation2024SEC$83,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2024FINRA$1,600,000
Morgan Stanley Smith Barney LLCprivacy violation2023MULTI-AG$6,500,000
Morgan Stanley Smith Barney LLCinvestor protection violation2023ME-SEC$5,000
Durango Midstream, LLCenvironmental violation2023NM-ENV$34,320
Morgan Stanley Smith Barney LLCinvestor protection violation2022SEC$35,000,000
Morgan Stanleyinvestor protection violation2022CFTC$75,000,000
Morgan Stanley & Co. LLCinvestor protection violation2022SEC$125,000,000
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Solium Financial Servicesinvestor protection violation2021DC-DISB$9,879
E*Trade Securities LLCinvestor protection violation2021NH-BSR$5,000
E-Trade Financial Corporate Services, Inc.consumer protection violation2021CT-BKG$10,000
Morgan Stanley Smith Barney LLCinvestor protection violation2020SEC$5,000,000
Solium Financial Services LLCinvestor protection violation2020AK-DBS$10,527
Solium Financial Services LLCinvestor protection violation2020AL-SEC$18,874
Solium Financial Services LLCinvestor protection violation2020CA-DFPI$52,047
Solium Financial Services LLCinvestor protection violation2020CT-SEC$51,136
Solium Financial Services LLCinvestor protection violation2020GA-SEC$22,104
Solium Financial Services, LLCinvestor protection violation2020IA-INS$10,147
Solium Financial Services LLCinvestor protection violation2020IN-SEC$15,575
Solium Financial Services, LLCinvestor protection violation2020ME-SEC$5,000
Solium Financial Services LLCinvestor protection violation2020MO-SEC$9,130
Solium Financial Services LLCinvestor protection violation2020NH-BSR$90,000
Solium Financial Services LLCinvestor protection violation2020OK-SEC$9,968
Solium Financial Services LLCinvestor protection violation2020OR-FIN$10,599
Solium Financial Services LLCinvestor protection violation2020TN-SEC$12,994
Solium Financial Services LLCinvestor protection violation2020VT-FIN$6,900
Solium Financial Services LLCinvestor protection violation2020WA-FIN$33,753
Solium Financial Services LLCinvestor protection violation2020FL-OFR$79,045
Solium Financial Services LLCinvestor protection violation2020PA-BKG$52,372
Solium Financial Services LLCinvestor protection violation2020SD-SEC$5,750
Solium Financial Services LLCinvestor protection violation2020TX-SEC$46,073
Morgan Stanley Smith Barney FA Notes Holdings LLCconsumer protection violation2020CA-DFPI$1,000,000
Morgan Stanley Capital Services LLCinvestor protection violation2020CFTC$5,000,000
Solium Financial Services LLCinvestor protection violation2020CO-SEC$69,338
Solium Financial Services LLCinvestor protection violation2020IL-SEC$11,385
Solium Financial Services LLCinvestor protection violation2020KY-FIN$5,465
Solium Financial Services LLCinvestor protection violation2020MS-SEC$6,000
Solium Financial Services LLCinvestor protection violation2020MT-FIN$14,700
Solium Financial Services LLCinvestor protection violation2020NM-SEC$6,500
Morgan Stanley Bank, N.A.banking violation2020OCC$60,000,000
Solium Financial Services LLCinvestor protection violation2020RI-FIN$6,500
Solium Financial Services LLCinvestor protection violation2020SC-SEC$28,007
Morgan Stanley & Co. LLCinvestor protection violation2020SEC$5,000,000
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Morgan Stanleyinvestor protection violation2019CA-AG$150,000,000
Morgan Stanley Capital Group Inc.investor protection violation2019CFTC$1,500,000
Morgan Stanley Smith Barney LLCinvestor protection violation2019SEC$1,545,758
Morgan Stanley Smith Barney, LLCinvestor protection violation2019SEC$225,000
Solium Financial Services LLCinvestor protection violation2019AR-SEC$5,000
Morgan Stanley Smith Barney LLCinvestor protection violation2019MA-SEC$382,500
Solium Financial Services LLCconsumer protection violation2019NE-DBF$14,000
Solium Financial Services LLCinvestor protection violation2019VA-SEC$10,000
Morgan Stanley Smith Barney LLCinvestor protection violation2019FINRA$280,000
Morgan Stanleymortgage abuses2018FED$8,000,000
Morgan Stanley Smith Barneyinvestor protection violation2018SEC$3,600,000
Morgan Stanley Smith Barney, LLCinvestor protection violation2018NH-BSR$983,284
Morgan Stanley Smith Barney LLCinvestor protection violation2018RI-FIN$175,000
Morgan Stanley Smith Barney LLCanti-money-laundering deficiencies2018FINRA$10,000,000
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2018private lawsuit-federal$33,500,000
Morgan Stanley Smith Barneyinvestor protection violation2017SEC$13,000,000
E*TRADE Securities LLCinvestor protection violation2017CFTC$280,000
Morgan Stanley Smith Barneyinvestor protection violation2017SEC$2,963,735
Morgan Stanley Smith Barneyinvestor protection violation2017SEC$8,000,000
Morgan Stanleydata submission deficiencies2017CFTC$350,000
Morgan Stanleyinvestor protection violation2017CFTC$500,000
Morgan Stanley Smith Barney LLCinvestor protection violation2017MA-SEC$1,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2017FINRA$13,030,000
Morgan Stanley Capital Group, Inc.environmental violation2017EPA$1,119,000
Morgan Stanley & Co. LLCtoxic securities abuses2016FDIC$62,950,000
Morgan Stanleytoxic securities abuses2016DOJ$2,600,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2016SEC$1,000,000
Morgan Stanley & Co. LLCinvestor protection violation2016SEC$7,500,000
Morgan Stanleywage and hour violation2016private lawsuit-federal$5,995,000
Morgan Stanleytoxic securities abuses2016IL-AG$22,500,000
Morgan Stanleytoxic securities abuses2016NY-AG$550,000,000
Morgan Stanley & Co. LLCtoxic securities abuses2016VA-AG$6,900,000
Morgan Stanley Smith Barney LLCinvestor protection violation2016MS-SEC$4,743,815
E-Trade Securities LLCinvestor protection violation2016FINRA$900,000
Morgan Stanleyprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Morgan Stanley Investment Managementinvestor protection violation2015SEC$8,800,000
Morgan Stanleytoxic securities abuses2015NCUA$225,000,000
Morgan Stanleyinvestor protection violation2015CFTC$300,000
Morgan Stanley & Co. LLCinvestor protection violation2015SEC$500,000
Morgan Stanley Smith Barney, LLCinvestor protection violation2015FINRA$650,000
Morgan Stanley & Co. LLCinvestor protection violation2015FINRA$2,000,000
Morgan Stanley & Co. LLCinvestor protection violation2014SEC$4,000,000
Morgan Stanleytoxic securities abuses2014SEC$275,000,000
Morgan Stanleytoxic securities abuses2014FHFA$1,250,000,000
Morgan Stanley Smith Barneyinvestor protection violation2014CFTC$280,000
Morgan Stanley Smith Barneyinvestor protection violation2014CFTC$490,000
Morgan Stanley Capital Groupinvestor protection violation2014CFTC$200,000
E*TRADE Securitiesinvestor protection violation2014SEC$2,500,000
Morgan Stanleywage and hour violation2014private lawsuit-federal$4,200,000
Morgan Stanley Smith Barney LLCinvestor protection violation2014CT-SEC$5,000,000
Morgan Stanley & Co., LLCinvestor protection violation2014FINRA$4,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2014FINRA$5,000,000
Morgan Stanley Capital Grouputility service violation2014TX-PUC$18,000
Morgan Stanley & Co.consumer protection violation2014private lawsuit-federal$95,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.