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Violation Tracker Current Parent Company Summary

Current 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: $10,924,502,443
Number of records: 207
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$9,924,512,956171
competition-related offenses$403,066,6669
consumer-protection-related offenses$339,817,0009
employment-related offenses$255,530,00113
environment-related offenses$1,575,8205
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$5,124,050,00011
investor protection violation$4,729,462,956157
price-fixing or anti-competitive practices$403,066,6669
mortgage abuses$235,000,0002
employment discrimination$150,385,0006
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 a summary of this company's regulatory penalties in more than 50 other countries, see its Violation Tracker Global summary page 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.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
Morgan Stanley Smith Barney LLCinvestor protection violation2019SEC$1,545,758
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.investor protection violation2006SEC$1,500,000
E-Tradewage and hour violation2012private lawsuit-federal$1,500,000
Morgan Stanley & Co.toxic securities abuses2008MA-AG$1,500,000
Morgan Stanley Capital Group Inc.investor protection violation2019CFTC$1,500,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCinvestor protection violation2011FINRA$1,371,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLCinvestor protection violation2013FINRA$1,188,000
Morgan Stanley Capital Group, Inc.environmental violation2017EPA$1,119,000
Morgan Stanley DW Inc.investor protection violation2006NY-AG$1,040,964
Morgan Stanley Smith Barney LLCinvestor protection violation2016SEC$1,000,000
Morgan Stanley Smith Barney LLCinvestor protection violation2017MA-SEC$1,000,000
Morgan Stanley Smith Barney FA Notes Holdings LLCconsumer protection violation2020CA-DFPI$1,000,000
E-Trade Securities LLC and E-Trade Clearing LLCanti-money-laundering deficiencies2009FINRA$1,000,000
Morgan Stanley Smith Barney, LLCinvestor protection violation2018NH-BSR$983,284
Smith Barneyinvestor protection violation2007NJ-AG$978,000
E-Tradewage and hour violation2008private lawsuit-federal$900,000
E-Trade Securities LLCinvestor protection violation2016FINRA$900,000
Morgan Stanleyinvestor protection violation2012FINRA$817,754
Morgan Stanley & Co., Inc.investor protection violation2010FINRA$800,000
Morgan Stanleyemployment discrimination2008private lawsuit-federal$750,000
Morgan Stanley DWinvestor protection violation2005DE-AG$700,000
Morgan Stanley Smith Barney, LLCinvestor protection violation2015FINRA$650,000
Salomon Smith Barneyemployment discrimination2001EEOC$635,000
Morgan Stanley & Co. LLCinvestor protection violation2015SEC$500,000
Morgan Stanleyinvestor protection violation2009SEC$500,000
Morgan Stanleyinvestor protection violation2017CFTC$500,000
E*Trade Clearing LLCinvestor protection violation2008SEC$500,000
Dean Witter Reynolds Inc.investor protection violation2002SEC$500,000
Morgan Stanleyinvestor protection violation2004NH-BSR$500,000
E-Trade Securities, LLCinvestor protection violation2008FINRA$500,000
Morgan Stanley & Co., Inc.investor protection violation2000FINRA$495,000
Morgan Stanley Smith Barneyinvestor protection violation2014CFTC$490,000
Dean Witter Reynolds Inc.investor protection violation2000SEC$476,702
Smith Barney Fund Management LLCinvestor protection violation2007SEC$450,000
Morgan Stanley DW Inc.investor protection violation2005NH-BSR$435,000
Morgan Stanley DW Inc.investor protection violation2006ID-SEC$415,000
Morgan Stanley Capital Group Inc.environmental violation2009EPA$405,000
Morgan Stanley & Co. Inc.investor protection violation2008TX-SEC$400,000
Morgan Stanley Smith Barney LLCinvestor protection violation2019MA-SEC$382,500
Morgan Stanleyinvestor protection violation2017CFTC$350,000
Morgan Stanley DW Incinvestor protection violation2004FINRA$336,510
Morgan Stanley DW Inc.investor protection violation2004WA-FIN$325,000
Morgan Stanleyinvestor protection violation2015CFTC$300,000
Morgan Stanley Smith Barneyinvestor protection violation2014CFTC$280,000
E*TRADE Securities LLCinvestor protection violation2017CFTC$280,000
Morgan Stanley Smith Barney LLCinvestor protection violation2019FINRA$280,000
Morgan Stanley & Co. Inc.investor protection violation2007RI-FIN$250,000
Morgan Stanley DW Inc.investor protection violation2004FINRA$250,000
Morgan Stanley Smith Barney, LLCinvestor protection violation2019SEC$225,000
Morgan Stanley & Co. Inc.investor protection violation2012IN-SEC$210,000
Morgan Stanley Capital Groupinvestor protection violation2014CFTC$200,000
Morgan Stanley Smith Barneyinvestor protection violation2012CFTC$200,000
Morgan Stanley & Co. Incorporatedinvestor protection violation2006FINRA$200,000
Morgan Stanley & Co. Inc.investor protection violation2000FINRA$200,000
Morgan Stanley Smith Barney LLCinvestor protection violation2018RI-FIN$175,000
E*Tradeprice-fixing or anti-competitive practices2012MULTI-AG$100,000
Morgan Stanley & Co., LLCinvestor protection violation2013NJ-AG$100,000
Morgan Stanley D.W., Inc.investor protection violation2004KY-FIN$100,000
Morgan Stanley & Co. Inc.investor protection violation2009MD-SEC$100,000
Morgan Stanley DW Inc.investor protection violation2006FINRA$100,000
Solium Financial Services LLCinvestor protection violation2020NH-BSR$90,000
E-Trade Securitiesinvestor protection violation2001FINRA$90,000
Solium Financial Services LLCinvestor protection violation2020FL-OFR$79,045
Solium Financial Services LLCinvestor protection violation2020CO-SEC$69,338
Solium Financial Services LLCinvestor protection violation2020PA-BKG$52,372
Solium Financial Services LLCinvestor protection violation2020CA-DFPI$52,047
Solium Financial Services LLCinvestor protection violation2020CT-SEC$51,136
E*Trade Group, Inc.benefit plan administrator violation2008EBSA$50,001
Solium Financial Services LLCinvestor protection violation2020TX-SEC$46,073
Morgan Stanley DW Inc.investor protection violation2004FINRA$38,312
Morgan Stanley & Co. Inc.investor protection violation2008MD-SEC$35,000
Morgan Stanley Smith Barneyinvestor protection violation2012NH-BSR$35,000
Durango Midstream, LLCenvironmental violation2023NM-ENV$34,320
Solium Financial Services LLCinvestor protection violation2020WA-FIN$33,753
Morgan Stanley & Co. Inc.investor protection violation2011SC-SEC$30,000
Solium Financial Services LLCinvestor protection violation2020SC-SEC$28,007
Solium Financial Services LLCinvestor protection violation2020GA-SEC$22,104
E-TRADE Securities, Inc.investor protection violation2000FINRA$20,000
E-TRADE Securities, Inc.investor protection violation2000FINRA$20,000
Solium Financial Services LLCinvestor protection violation2020AL-SEC$18,874
Morgan Stanley Capital Grouputility service violation2014TX-PUC$18,000
Eaton Vance Income Fund of Bostoninvestor protection violation2006NE-DBF$17,000
Solium Financial Services LLCinvestor protection violation2020IN-SEC$15,575
Solium Financial Services LLCinvestor protection violation2020MT-FIN$14,700
Solium Financial Services LLCconsumer protection violation2019NE-DBF$14,000
Solium Financial Services LLCinvestor protection violation2020TN-SEC$12,994
Solium Financial Services LLCinvestor protection violation2020IL-SEC$11,385
Solium Financial Services LLCinvestor protection violation2020OR-FIN$10,599
Solium Financial Services LLCinvestor protection violation2020AK-DBS$10,527
Solium Financial Services, LLCinvestor protection violation2020IA-INS$10,147
Solium Financial Services LLCinvestor protection violation2019VA-SEC$10,000
E-Trade Financial Corporate Services, Inc.consumer protection violation2021CT-BKG$10,000
MORGAN STANLEYenvironmental violation2014EPA$10,000
Solium Financial Services LLCinvestor protection violation2020OK-SEC$9,968
Solium Financial Servicesinvestor protection violation2021DC-DISB$9,879
Solium Financial Services LLCinvestor protection violation2020MO-SEC$9,130
Morgan Stanley Capital Group, Inc.environmental violation2002EPA$7,500
Solium Financial Services LLCinvestor protection violation2020VT-FIN$6,900
Solium Financial Services LLCinvestor protection violation2020NM-SEC$6,500
Solium Financial Services LLCinvestor protection violation2020RI-FIN$6,500
Solium Financial Services LLCinvestor protection violation2020MS-SEC$6,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.