Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
Note: 
The totals here are adjusted to account for the fact that each parent's entries 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. They 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 individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$13,547,438,962115
UBS$11,679,855,33361
Citigroup$8,176,245,73063
JPMorgan Chase$6,010,421,20671
Morgan Stanley$4,209,326,733141
Deutsche Bank$4,049,166,82840
Goldman Sachs$3,904,979,98440
Wells Fargo$2,487,362,73582
American International Group$1,623,560,00010
MF Global$1,324,000,0003


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parentsort icon Parent Major Industry Year Agency Penalty Amount
Solium Financial Services LLC Morgan Stanley financial services 2020 IN-SEC $15,575
Morgan Stanley D.W., Inc. Morgan Stanley financial services 2004 KY-FIN $100,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2012 MA-SEC $5,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2017 MA-SEC $1,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2019 MA-SEC $382,500
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2008 MD-SEC $35,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2009 MD-SEC $100,000
Solium Financial Services, LLC Morgan Stanley financial services 2020 ME-SEC $5,000
Solium Financial Services LLC Morgan Stanley financial services 2020 MO-SEC $9,130
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2016 MS-SEC $4,743,815
Eaton Vance Income Fund of Boston Morgan Stanley financial services 2006 NE-DBF $17,000
Morgan Stanley Morgan Stanley financial services 2004 NH-BSR $500,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2005 NH-BSR $435,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2012 NH-BSR $35,000
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2018 NH-BSR $983,284
Solium Financial Services LLC Morgan Stanley financial services 2020 NH-BSR $90,000
Smith Barney Morgan Stanley financial services 2007 NJ-BOS $5,000,000
Solium Financial Services LLC Morgan Stanley financial services 2020 OK-SEC $9,968
Solium Financial Services LLC Morgan Stanley financial services 2020 OR-FIN $10,599
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2007 RI-FIN $250,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2018 RI-FIN $175,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2011 SC-SEC $30,000
Solium Financial Services LLC Morgan Stanley financial services 2020 TN-SEC $12,994
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2008 TX-SEC $400,000
Solium Financial Services LLC Morgan Stanley financial services 2019 VA-SEC $10,000
Solium Financial Services LLC Morgan Stanley financial services 2020 VT-FIN $6,900
Solium Financial Services LLC Morgan Stanley financial services 2020 WA-FIN $33,753
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 WA-FIN $325,000
E*TRADE Securities LLC Morgan Stanley financial services 2011 MULTI-FIN $5,000,000
Morgan Stanley Morgan Stanley financial services 2008 MULTI-FIN (*) $35,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2009 MULTI-FIN $8,500,000
Morgan Stanley & Co. Morgan Stanley financial services 2003 MULTI-FIN (*) $25,000,000
Solium Financial Services LLC Morgan Stanley financial services 2020 FL-OFR $79,045
Solium Financial Services LLC Morgan Stanley financial services 2020 PA-BKG $52,372
Solium Financial Services LLC Morgan Stanley financial services 2020 SD-SEC $5,750
Solium Financial Services LLC Morgan Stanley financial services 2020 TX-SEC $46,073
Morgan Stanley Capital Services LLC Morgan Stanley financial services 2020 CFTC $5,000,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CO-SEC $69,338
Solium Financial Services LLC Morgan Stanley financial services 2020 IL-SEC $11,385
Solium Financial Services LLC Morgan Stanley financial services 2020 KY-FIN $5,465
Solium Financial Services LLC Morgan Stanley financial services 2020 MS-SEC $6,000
Solium Financial Services LLC Morgan Stanley financial services 2020 MT-SEC $14,700
Solium Financial Services LLC Morgan Stanley financial services 2020 NM-SEC $6,500
Solium Financial Services LLC Morgan Stanley financial services 2020 RI-FIN $6,500
Solium Financial Services LLC Morgan Stanley financial services 2020 SC-SEC $28,007
Morgan Stanley & Co. LLC Morgan Stanley financial services 2020 SEC $5,000,000
Solium Financial Services Morgan Stanley financial services 2021 DC-DISB $9,879
E*Trade Securities LLC Morgan Stanley financial services 2021 NH-BSR $5,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2019 FINRA $280,000
E-Trade Securities, LLC Morgan Stanley financial services 2008 FINRA $500,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2017 FINRA $13,030,000
E-Trade Securities LLC Morgan Stanley financial services 2016 FINRA $900,000
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2015 FINRA $650,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2015 FINRA $2,000,000
Morgan Stanley & Co., LLC Morgan Stanley financial services 2014 FINRA $4,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2014 FINRA $5,000,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC Morgan Stanley financial services 2013 FINRA $1,188,000
Morgan Stanley Morgan Stanley financial services 2012 FINRA $817,754
Morgan Stanley & Co., LLC Morgan Stanley financial services 2012 FINRA $2,146,431
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2011 FINRA $1,371,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services 2010 FINRA $800,000
Morgan Stanley & Co. Morgan Stanley financial services 2009 FINRA $7,200,000
Morgan Stanley & Co. Morgan Stanley financial services 2007 FINRA $12,500,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2007 FINRA $6,100,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 FINRA $100,000
Morgan Stanley Morgan Stanley financial services 2006 FINRA $2,900,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2006 FINRA $200,000
Morgan Stanley DW, Inc. Morgan Stanley financial services 2005 FINRA $6,100,000
Morgan Stanley & Co. Morgan Stanley financial services 2005 FINRA $2,650,000
Morgan Stanley DW Inc Morgan Stanley financial services 2004 FINRA $336,510
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 FINRA $2,200,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 FINRA $250,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 FINRA $38,312
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2004 FINRA $5,390,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2003 FINRA (*) $50,000,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2003 FINRA $2,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2002 FINRA (*) $1,650,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2002 FINRA (*) $1,650,000
Salomon Smith Barney Morgan Stanley financial services 2002 FINRA $5,000,000
E-Trade Securities Morgan Stanley financial services 2001 FINRA $90,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2000 FINRA $200,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services 2000 FINRA $495,000
Morningstar Credit Ratings, LLC Morningstar Inc. miscellaneous services 2020 SEC $3,500,000
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC Nasdaq Inc. financial services 2013 SEC $10,000,000
Brut, LLC Nasdaq Inc. financial services 2003 SEC $45,000
BRUT LLC Nasdaq Inc. financial services 2006 FINRA $2,200,000
National Beverage Corp. National Beverage Corp. beverages 2021 SEC $481,920
Nationwide Life Insurance Company Nationwide financial services 2015 SEC $8,000,000
Natixis Securities Americas LLC Natixis financial services 2018 SEC $1,250,000
Royal Bank of Scotland Group plc NatWest Group PLC financial services 2014 SEC $120,000
NatWest Markets Plc NatWest Group PLC financial services 2018 CFTC $750,000
NatWest Markets Plc NatWest Group PLC financial services 2019 CFTC $850,000
CCO Investment Services Corp. NatWest Group PLC financial services 2007 NH-BSR $375,000
RBS Securities, Inc. NatWest Group PLC financial services 2016 FINRA $2,000,000
CCO Investment Services Corp. NatWest Group PLC financial services 2006 FINRA $850,000
New Day Financial, LLC d/b/a NewDay USA New Day Financial LLC financial services 2015 MULTI-FIN $5,160,000
New York Life Investment Management LLC New York Life Insurance financial services 2009 SEC $6,100,784
NYLIFE Securities, LLC New York Life Insurance financial services 2017 IN-SEC $275,000
NYLIFE Securities LLC New York Life Insurance financial services 2019 ME-SEC $50,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
(*): Some penalties are partial or complete duplicates of other penalty records, either because a DOJ settlement duplicates an agency record or because EPA listed the full penalty for a company for each of the company's relevant facilities. Penalty amounts marked with an asterisk have been identified by Good Jobs First as duplicating other penalty amounts.