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: 
$9,837,250,227
Number of records: 
149
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$9,544,253,726120
employment-related offenses$255,530,00113
miscellaneous offenses$27,650,0005
competition-related offenses$4,900,0002
consumer-protection-related offenses$3,375,0005
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$5,124,050,00011
investor protection violation$4,122,853,726105
mortgage abuses$237,350,0003
employment discrimination$150,385,0006
wage and hour violation$105,095,0006
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: 

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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Primary Offense Type Year Agency Penalty Amountsort icon
Morgan Stanley & Co. Inc. investor protection violation 2012 IN-SEC $210,000
Morgan Stanley Capital Group investor protection violation 2014 CFTC $200,000
Morgan Stanley Smith Barney investor protection violation 2012 CFTC $200,000
Morgan Stanley Smith Barney LLC investor protection violation 2018 RI-FIN $175,000
E*Trade price-fixing or anti-competitive practices 2012 MULTI-AG $100,000
Morgan Stanley & Co., LLC investor protection violation 2013 NJ-AG $100,000
Morgan Stanley D.W., Inc. investor protection violation 2004 KY-FIN $100,000
Morgan Stanley & Co. Inc. investor protection violation 2009 MD-SEC $100,000
Solium Financial Services LLC investor protection violation 2020 NH-BSR $90,000
Solium Financial Services LLC investor protection violation 2020 FL-OFR $79,045
Saxon Mortgage Services consumer protection violation 2010 MD-FIN $71,000
Solium Financial Services LLC investor protection violation 2020 CO-SEC $69,338
Solium Financial Services LLC investor protection violation 2020 PA-BKG $52,372
Solium Financial Services LLC investor protection violation 2020 CA-DFPI $52,047
Solium Financial Services LLC investor protection violation 2020 CT-SEC $51,136
E*Trade Group, Inc. benefit plan administrator violation 2008 EBSA $50,001
Solium Financial Services LLC investor protection violation 2020 TX-SEC $46,073
Morgan Stanley & Co. Inc. investor protection violation 2008 MD-SEC $35,000
Morgan Stanley Smith Barney investor protection violation 2012 NH-BSR $35,000
Solium Financial Services LLC investor protection violation 2020 WA-FIN $33,753
Morgan Stanley & Co. Inc. investor protection violation 2011 SC-SEC $30,000
Solium Financial Services LLC investor protection violation 2020 SC-SEC $28,007
Solium Financial Services LLC investor protection violation 2020 GA-SEC $22,104
Solium Financial Services LLC investor protection violation 2020 AL-SEC $18,874
Eaton Vance Income Fund of Boston investor protection violation 2006 NE-DBF $17,000
Solium Financial Services LLC investor protection violation 2020 IN-SEC $15,575
Saxon Mortgage Services, Inc. consumer protection violation 2012 FL-OFR $15,000
Solium Financial Services LLC investor protection violation 2020 MT-SEC $14,700
Solium Financial Services LLC consumer protection violation 2019 NE-DBF $14,000
Solium Financial Services LLC investor protection violation 2020 TN-SEC $12,994
Solium Financial Services LLC investor protection violation 2020 IL-SEC $11,385
Solium Financial Services LLC investor protection violation 2020 OR-FIN $10,599
Solium Financial Services LLC investor protection violation 2020 AK-DBS $10,527
Solium Financial Services, LLC investor protection violation 2020 IA-INS $10,147
Solium Financial Services LLC investor protection violation 2019 VA-SEC $10,000
MORGAN STANLEY environmental violation 2014 EPA $10,000
Solium Financial Services LLC investor protection violation 2020 OK-SEC $9,968
Solium Financial Services investor protection violation 2021 DC-DISB $9,879
Solium Financial Services LLC investor protection violation 2020 MO-SEC $9,130
Morgan Stanley Capital Group, Inc. environmental violation 2002 EPA $7,500
Solium Financial Services LLC investor protection violation 2020 VT-FIN $6,900
Solium Financial Services LLC investor protection violation 2020 NM-SEC $6,500
Solium Financial Services LLC investor protection violation 2020 RI-FIN $6,500
Solium Financial Services LLC investor protection violation 2020 MS-SEC $6,000
Solium Financial Services LLC investor protection violation 2020 SD-SEC $5,750
Solium Financial Services LLC investor protection violation 2020 KY-FIN $5,465
Solium Financial Services LLC investor protection violation 2019 AR-SEC $5,000
Solium Financial Services, LLC investor protection violation 2020 ME-SEC $5,000
E*Trade Securities LLC investor protection violation 2021 NH-BSR $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)