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
Morgan Stanley & Co. Morgan Stanley financial services 2005 SEC $40,000,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2003 SEC $50,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2003 SEC $125,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2000 SEC $2,500,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2000 SEC $45,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2016 SEC $7,500,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $13,000,000
E*TRADE Securities LLC Morgan Stanley financial services 2017 CFTC $280,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $2,963,735
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $8,000,000
Morgan Stanley Morgan Stanley financial services 2017 CFTC $500,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2018 SEC $3,600,000
E*Trade Clearing LLC Morgan Stanley financial services 2008 SEC $500,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $17,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,500,000
Dean Witter Reynolds Inc. Morgan Stanley financial services 2002 SEC $500,000
Dean Witter Reynolds Inc. Morgan Stanley financial services 2000 SEC $476,702
Morgan Stanley Morgan Stanley financial services 2008 MULTI-AG $3,535,000,000
Morgan Stanley Morgan Stanley financial services 2002 MULTI-AG (*) $125,000,000
Morgan Stanley Morgan Stanley financial services 2019 CA-AG $150,000,000
Morgan Stanley Morgan Stanley financial services 2011 NJ-AG $1,560,000
Morgan Stanley & Co., LLC Morgan Stanley financial services 2013 NJ-AG $100,000
Morgan Stanley DW Morgan Stanley financial services 2005 DE-AG $700,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2002 MULTI-AG (*) $400,000,000
Smith Barney Morgan Stanley financial services 2007 NJ-AG $5,000,000
Smith Barney Morgan Stanley financial services 2007 NJ-AG $978,000
Morgan Stanley Capital Group Inc. Morgan Stanley financial services 2019 CFTC $1,500,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2019 SEC $1,545,758
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2019 SEC $225,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 NY-AG $1,040,964
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2020 SEC $5,000,000
Solium Financial Services LLC Morgan Stanley financial services 2020 AK-DBS $10,527
Solium Financial Services LLC Morgan Stanley financial services 2020 AL-SEC $18,874
Solium Financial Services LLC Morgan Stanley financial services 2019 AR-SEC $5,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CA-DFPI $52,047
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2014 CT-SEC $5,000,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CT-SEC $51,136
Solium Financial Services LLC Morgan Stanley financial services 2020 GA-SEC $22,104
Solium Financial Services, LLC Morgan Stanley financial services 2020 IA-INS $10,147
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 ID-SEC $415,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2012 IN-SEC $210,000
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
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.