Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Morgan Stanley Smith Barney LLC
Current Parent Company: Morgan Stanley
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $6,500,000
Year: 2023
Date: November 16, 2023
Offense Group: consumer-protection-related offenses
Primary Offense: privacy violation
Violation Description: Morgan Stanley agreed to pay $6.5 million to settle multistate litigation alleging it compromised the personal information of customers by selling computer equipment that still contained that data.
Level of Government: state
Action Type: agency action
Agency: Multistate Attorneys General Case
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.