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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 Type sort iconYearAgencyPenalty Amount
Solium Financial Services LLCinvestor protection violation2020OK-SEC$9,968
Solium Financial Services LLCinvestor protection violation2020OR-FIN$10,599
Morgan Stanley & Co. Inc.investor protection violation2007RI-FIN$250,000
Morgan Stanley Smith Barney LLCinvestor protection violation2018RI-FIN$175,000
Morgan Stanley & Co. Inc.investor protection violation2011SC-SEC$30,000
Solium Financial Services LLCinvestor protection violation2020TN-SEC$12,994
Morgan Stanley & Co. Inc.investor protection violation2008TX-SEC$400,000
Solium Financial Services LLCinvestor protection violation2019VA-SEC$10,000
Solium Financial Services LLCinvestor protection violation2020VT-FIN$6,900
Solium Financial Services LLCinvestor protection violation2020WA-FIN$33,753
Morgan Stanley DW Inc.investor protection violation2004WA-FIN$325,000
E*TRADE Securities LLCinvestor protection violation2011MULTI-FIN$5,000,000
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
Morgan Stanley & Co.investor protection violation2009MULTI-FIN$8,500,000
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
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 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
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
Solium Financial Servicesinvestor protection violation2021DC-DISB$9,879
E*Trade Securities LLCinvestor protection violation2021NH-BSR$5,000
Morgan Stanley Smith Barney LLCinvestor protection violation2019FINRA$280,000
E-Trade Securities, LLCinvestor protection violation2008FINRA$500,000
Morgan Stanley Smith Barney LLCinvestor protection violation2017FINRA$13,030,000
E-Trade Securities LLCinvestor protection violation2016FINRA$900,000
Morgan Stanley Smith Barney, LLCinvestor protection violation2015FINRA$650,000
Morgan Stanley & Co. LLCinvestor protection violation2015FINRA$2,000,000
Morgan Stanley & Co., LLCinvestor protection violation2014FINRA$4,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2014FINRA$5,000,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLCinvestor protection violation2013FINRA$1,188,000
Morgan Stanleyinvestor protection violation2012FINRA$817,754
Morgan Stanley & Co., LLCinvestor protection violation2012FINRA$2,146,431
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCinvestor protection violation2011FINRA$1,371,000
Morgan Stanley & Co., Inc.investor protection violation2010FINRA$800,000
Morgan Stanley & Co.investor protection violation2009FINRA$7,200,000
Morgan Stanley & Co.investor protection violation2007FINRA$12,500,000
Morgan Stanley DW Inc.investor protection violation2007FINRA$6,100,000
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 DW, Inc.investor protection violation2005FINRA$6,100,000
Morgan Stanley & Co.investor protection violation2005FINRA$2,650,000
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 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 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
E-Trade Securitiesinvestor protection violation2001FINRA$90,000
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
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 Smith Barney LLCinvestor protection violation2023ME-SEC$5,000
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 Stanleymortgage abuses2013FED$227,000,000
Morgan Stanleymortgage abuses2018FED$8,000,000
Morgan Stanleyprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$4,800,000
E*Tradeprice-fixing or anti-competitive practices2012MULTI-AG$100,000
Morgan Stanleyprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
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 & Co. LLCprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Morgan Stanley & Co. LLCprice-fixing or anti-competitive practices2011private lawsuit-federal$6,500,000
Morgan Stanley Smith Barney LLCprivacy violation2023MULTI-AG$6,500,000
Morgan Stanley & Co. LLCtoxic securities abuses2016FDIC$62,950,000
Morgan Stanleytoxic securities abuses2016DOJ$2,600,000,000
Morgan Stanleytoxic securities abuses2014SEC$275,000,000
Morgan Stanleytoxic securities abuses2014FHFA$1,250,000,000
Morgan Stanleytoxic securities abuses2015NCUA$225,000,000
Morgan Stanleytoxic securities abuses2016IL-AG$22,500,000
Morgan Stanleytoxic securities abuses2016NY-AG$550,000,000
Morgan Stanley & Co.toxic securities abuses2010MA-AG$102,000,000
Morgan Stanley & Co.toxic securities abuses2008MA-AG$1,500,000
Morgan Stanley & Co. LLCtoxic securities abuses2016VA-AG$6,900,000
Morgan Stanley Mortgage Capital Holdingstoxic securities abuses2011NV-AG$28,200,000
Morgan Stanley Capital Grouputility service violation2014TX-PUC$18,000
Morgan Stanleywage and hour violation2016private lawsuit-federal$5,995,000
Morgan Stanleywage and hour violation2014private lawsuit-federal$4,200,000
E-Tradewage and hour violation2012private lawsuit-federal$1,500,000
Morgan Stanleywage and hour violation2009private lawsuit-federal$50,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.