Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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.
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Company Parentsort icon Parent Major Industry Year Agency Penalty Amount
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
NYLIFE Securities LLC New York Life Insurance financial services 2017 NH-BSR $7,500
New Day Financial, LLC d/b/a NewDay USA New Day Financial LLC financial services 2015 MULTI-FIN $5,160,000
Navistar International Corp. Navistar motor vehicles 2016 SEC $7,500,000
Natixis Securities Americas LLC Natixis financial services 2018 SEC $1,250,000
Nationwide Life Insurance Company Nationwide financial services 2015 SEC $8,000,000
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC Nasdaq Inc. financial services 2013 SEC $10,000,000
Mylan N.V. Mylan pharmaceuticals 2019 SEC $30,000,000
Morningstar Credit Ratings, LLC Morningstar Inc. miscellaneous services 2020 SEC $3,500,000
Morgan Stanley Investment Management Morgan Stanley financial services 2015 SEC $8,800,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2014 SEC $4,000,000
Morgan Stanley Investment Management Morgan Stanley financial services 2011 SEC $3,300,000
Morgan Stanley Morgan Stanley financial services 2015 CFTC $300,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2014 CFTC $280,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2014 CFTC $490,000
Morgan Stanley Capital Group Morgan Stanley financial services 2014 CFTC $200,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2012 CFTC $200,000
Morgan Stanley Morgan Stanley financial services 2012 CFTC $5,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2016 SEC $1,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2015 SEC $500,000
Morgan Stanley Morgan Stanley financial services 2009 SEC $500,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,957,200
Morgan Stanley & Co. Morgan Stanley financial services 2006 SEC $10,000,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. Morgan Stanley financial services 2006 SEC $1,500,000
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
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
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-DBO $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
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
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
Moody's Investors Service, Inc. Moody's information technology 2018 SEC $1,250,000
Moody's Investors Service, Inc. Moody's information technology 2018 SEC $15,000,000
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(*): 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.