Morgan Stanley Smith Barney LLC | anti-money-laundering deficiencies | 2018 | FINRA | $10,000,000 |
E-Trade Securities LLC and E-Trade Clearing LLC | anti-money-laundering deficiencies | 2009 | FINRA | $1,000,000 |
Morgan Stanley Bank, N.A. | banking violation | 2020 | OCC | $60,000,000 |
E*Trade Group, Inc. | benefit plan administrator violation | 2008 | EBSA | $50,001 |
Morgan Stanley Capital Group Inc. | consumer protection violation | 2009 | FL-AG | $2,275,000 |
Solium Financial Services LLC | consumer protection violation | 2019 | NE-DBF | $14,000 |
Morgan Stanley Smith Barney FA Notes Holdings LLC | consumer protection violation | 2020 | CA-DFPI | $1,000,000 |
E-Trade Financial Corporate Services, Inc. | consumer protection violation | 2021 | CT-BKG | $10,000 |
Morgan Stanley & Co. | consumer protection violation | 2014 | private lawsuit-federal | $95,000,000 |
Morgan Stanley Capital Group | data submission deficiencies | 2010 | CFTC | $14,000,000 |
Morgan Stanley & Co. | data submission deficiencies | 2006 | SEC | $10,000,000 |
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 | data submission deficiencies | 2017 | CFTC | $350,000 |
Morgan Stanley | employment discrimination | 2004 | EEOC | $54,000,000 |
Salomon Smith Barney | employment discrimination | 2001 | EEOC | $635,000 |
Smith Barney | employment discrimination | 2008 | private lawsuit-federal | $33,000,000 |
Morgan Stanley | employment discrimination | 2007 | private lawsuit-federal | $46,000,000 |
Morgan Stanley | employment discrimination | 2008 | private lawsuit-federal | $750,000 |
Morgan Stanley | employment discrimination | 2008 | private lawsuit-federal | $16,000,000 |
Durango Midstream, LLC | environmental violation | 2023 | NM-ENV | $34,320 |
MORGAN STANLEY | environmental violation | 2014 | EPA | $10,000 |
Morgan Stanley Capital Group Inc. | environmental violation | 2009 | EPA | $405,000 |
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 Investment Management | investor protection violation | 2015 | SEC | $8,800,000 |
Morgan Stanley & Co. LLC | investor protection violation | 2014 | SEC | $4,000,000 |
Morgan Stanley Investment Management | investor protection violation | 2011 | SEC | $3,300,000 |
Morgan Stanley | investor protection violation | 2015 | CFTC | $300,000 |
Morgan Stanley Smith Barney | investor protection violation | 2014 | CFTC | $280,000 |
Morgan Stanley Smith Barney | investor protection violation | 2014 | CFTC | $490,000 |
Morgan Stanley Capital Group | investor protection violation | 2014 | CFTC | $200,000 |
Morgan Stanley Smith Barney | investor protection violation | 2012 | CFTC | $200,000 |
Morgan Stanley | investor protection violation | 2012 | CFTC | $5,000,000 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2016 | SEC | $1,000,000 |
Morgan Stanley & Co. LLC | investor protection violation | 2015 | SEC | $500,000 |
E*TRADE Securities | investor protection violation | 2014 | SEC | $2,500,000 |
Morgan Stanley | investor protection violation | 2009 | SEC | $500,000 |
Morgan Stanley & Co. Incorporated | investor protection violation | 2007 | SEC | $7,957,200 |
Morgan Stanley & Co. | investor protection violation | 2006 | SEC | $10,000,000 |
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. | investor protection violation | 2006 | SEC | $1,500,000 |
Morgan Stanley & Co. | investor protection violation | 2005 | SEC | $40,000,000 |
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 & Co. Incorporated | investor protection violation | 2000 | SEC | $2,500,000 |
Salomon Smith Barney Inc. | investor protection violation | 2000 | SEC | $45,000,000 |
Morgan Stanley & Co. LLC | investor protection violation | 2016 | SEC | $7,500,000 |
Morgan Stanley Smith Barney | investor protection violation | 2017 | SEC | $13,000,000 |
E*TRADE Securities LLC | investor protection violation | 2017 | CFTC | $280,000 |
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 | investor protection violation | 2017 | CFTC | $500,000 |
Morgan Stanley Smith Barney | investor protection violation | 2018 | SEC | $3,600,000 |
E*Trade Clearing LLC | investor protection violation | 2008 | SEC | $500,000 |
Morgan Stanley & Co. Incorporated | investor protection violation | 2007 | SEC | $17,000,000 |
Morgan Stanley & Co. Incorporated | investor protection violation | 2007 | SEC | $7,500,000 |
Smith Barney Fund Management LLC | investor protection violation | 2007 | SEC | $450,000 |
Dean Witter Reynolds Inc. | investor protection violation | 2002 | SEC | $500,000 |
Dean Witter Reynolds Inc. | investor protection violation | 2000 | SEC | $476,702 |
Morgan Stanley | investor protection violation | 2008 | MULTI-AG | $3,535,000,000 |
Morgan Stanley | 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. $125,000,000 |
Morgan Stanley | investor protection violation | 2019 | CA-AG | $150,000,000 |
Morgan Stanley | investor protection violation | 2011 | NJ-AG | $1,560,000 |
Morgan Stanley & Co., LLC | investor protection violation | 2013 | NJ-AG | $100,000 |
Morgan Stanley DW | investor protection violation | 2005 | DE-AG | $700,000 |
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 |
Smith Barney | investor protection violation | 2007 | NJ-AG | $5,000,000 |
Smith Barney | investor protection violation | 2007 | NJ-AG | $978,000 |
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 |
Morgan Stanley DW Inc. | investor protection violation | 2006 | NY-AG | $1,040,964 |
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 | 2019 | AR-SEC | $5,000 |
Solium Financial Services LLC | investor protection violation | 2020 | CA-DFPI | $52,047 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2014 | CT-SEC | $5,000,000 |
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 |
Morgan Stanley DW Inc. | investor protection violation | 2006 | ID-SEC | $415,000 |
Morgan Stanley & Co. Inc. | investor protection violation | 2012 | IN-SEC | $210,000 |
Solium Financial Services LLC | investor protection violation | 2020 | IN-SEC | $15,575 |
Morgan Stanley D.W., Inc. | investor protection violation | 2004 | KY-FIN | $100,000 |
Morgan Stanley & Co. LLC | investor protection violation | 2012 | MA-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 & Co. Inc. | investor protection violation | 2008 | MD-SEC | $35,000 |
Morgan Stanley & Co. Inc. | investor protection violation | 2009 | MD-SEC | $100,000 |
Solium Financial Services, LLC | investor protection violation | 2020 | ME-SEC | $5,000 |
Solium Financial Services LLC | investor protection violation | 2020 | MO-SEC | $9,130 |
Morgan Stanley Smith Barney LLC | investor protection violation | 2016 | MS-SEC | $4,743,815 |
Eaton Vance Income Fund of Boston | investor protection violation | 2006 | NE-DBF | $17,000 |
Morgan Stanley | investor protection violation | 2004 | NH-BSR | $500,000 |
Morgan Stanley DW Inc. | investor protection violation | 2005 | NH-BSR | $435,000 |
Morgan Stanley Smith Barney | investor protection violation | 2012 | NH-BSR | $35,000 |
Morgan Stanley Smith Barney, LLC | investor protection violation | 2018 | NH-BSR | $983,284 |
Solium Financial Services LLC | investor protection violation | 2020 | NH-BSR | $90,000 |
Smith Barney | investor protection violation | 2007 | NJ-BOS | $5,000,000 |
Solium Financial Services LLC | investor protection violation | 2020 | OK-SEC | $9,968 |