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Morgan Stanley Pays €101M Fine in the Netherlands While Facing FINRA Probe in the US

Thursday, 27/11/2025 | 17:20 GMT by Tareq Sikder
  • The firm settles Dutch tax fine; old corporate filings over 12 years ago triggered investigation.
  • Last year, the company was fined $1.6M by FINRA for municipal securities delays and supervisory lapses.
Morgan Stanley

The Dutch Public Prosecutor has imposed a fine of 101 million euros on two Morgan Stanley entities in London and Amsterdam for dividend tax evasion, the OM said today (Thursday).

Separately, Morgan Stanley is under investigation by FINRA over its client screening and risk assessment procedures. The review, covering October 2021 through September 2024, includes the bank’s wealth management division, including E*Trade, and its institutional securities unit.

Regulators have requested information on client risk scoring, reporting structures, and organizational charts. Earlier submissions contained incomplete data, prompting the bank to provide additional details.

Dutch Tax Dispute Resolved After Years

The penalty is separate from the tax liability Morgan Stanley settled with the Dutch Tax Administration at the end of 2024, including accrued interest, the OM added. Under Dutch law, domestic shareholders can reclaim or offset dividend taxes, but foreign recipients usually cannot.

According to the OM, Morgan Stanley used a structure that allowed parties who were not eligible to improperly claim these tax rebates.

Earlier this year, the OM said it would summon Morgan Stanley. Just before the start of criminal proceedings, the company agreed to accept the fine.

Morgan Stanley said it was "pleased to have resolved this historical matter," which concerned corporate tax returns filed in the Netherlands more than 12 years ago.

FINRA Fines Morgan Stanley $1.6 Million

Last year in February, FINRA announced a $1.6 million fine against Morgan Stanley Smith Barney LLC. The penalty arose from the firm’s repeated delays in closing failed inter-dealer municipal securities transactions and in securing possession or control of municipal securities held over 30 days, along with related supervisory shortcomings.

FINRA found 239 transactions and 247 securities affected between 2016 and 2021. The firm lacked adequate supervisory systems and updated procedures only in 2021. Morgan Stanley consented to FINRA’s findings without admitting or denying the charges, with $1.2 million of the fine allocated to the MSRB.

The Dutch Public Prosecutor has imposed a fine of 101 million euros on two Morgan Stanley entities in London and Amsterdam for dividend tax evasion, the OM said today (Thursday).

Separately, Morgan Stanley is under investigation by FINRA over its client screening and risk assessment procedures. The review, covering October 2021 through September 2024, includes the bank’s wealth management division, including E*Trade, and its institutional securities unit.

Regulators have requested information on client risk scoring, reporting structures, and organizational charts. Earlier submissions contained incomplete data, prompting the bank to provide additional details.

Dutch Tax Dispute Resolved After Years

The penalty is separate from the tax liability Morgan Stanley settled with the Dutch Tax Administration at the end of 2024, including accrued interest, the OM added. Under Dutch law, domestic shareholders can reclaim or offset dividend taxes, but foreign recipients usually cannot.

According to the OM, Morgan Stanley used a structure that allowed parties who were not eligible to improperly claim these tax rebates.

Earlier this year, the OM said it would summon Morgan Stanley. Just before the start of criminal proceedings, the company agreed to accept the fine.

Morgan Stanley said it was "pleased to have resolved this historical matter," which concerned corporate tax returns filed in the Netherlands more than 12 years ago.

FINRA Fines Morgan Stanley $1.6 Million

Last year in February, FINRA announced a $1.6 million fine against Morgan Stanley Smith Barney LLC. The penalty arose from the firm’s repeated delays in closing failed inter-dealer municipal securities transactions and in securing possession or control of municipal securities held over 30 days, along with related supervisory shortcomings.

FINRA found 239 transactions and 247 securities affected between 2016 and 2021. The firm lacked adequate supervisory systems and updated procedures only in 2021. Morgan Stanley consented to FINRA’s findings without admitting or denying the charges, with $1.2 million of the fine allocated to the MSRB.

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morgan-stanley
The Netherlands
About the Author: Tareq Sikder
Tareq Sikder
  • 2005 Articles
  • 34 Followers
About the Author: Tareq Sikder
A Forex technical analyst and writer who has been engaged in financial writing for 12 years.
  • 2005 Articles
  • 34 Followers

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    Much like their traders in the market, brokers must diversify to manage risk and stay resilient. But that can get costly, clunky, and lengthy. This candid panel brings together builders across the trading infrastructure space to uncover the shifting dynamics behind tools, interfaces, and full-stack ambitions. Attendees will hear: -Why platform dependency has become one of the most overlooked risks in the trading business? -Buy vs. build: What do hybrid models look like, and why are industry graveyards filled with failed ‘killer apps’? -How AI is already changing execution, risk, and reporting—and what’s next? -Which features, assets, and tools gain the most traction, and where brokers should look for tech-driven retention? Speakers: -Stephen Miles, Chief Revenue Officer at FYNXT -John Morris, Co-Founder at FXBlue -Matthew Smith, Group Chair & CEO at EC Markets -Tom Higgins, Founder & CEO at Gold-i -Gil Ben Hur, Founder at 5% Group #fmls #fmls25 #fmevents #Brokers #Trading #Fintech #FintechInnovation #TradingTechnology #Innovation Connect with us at: 🔗 LinkedIn: / financemagnates-events 👍 Facebook: / financemagnatesevents 📸 Instagram: / fmevents_official 🐦 Twitter: / f_m_events 🎥 TikTok: / fmevents_official
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