U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2002 | $100,000 |
Dean Witter Reynolds Inc. | Morgan Stanley | financial services | investor protection violation | 2002 | $500,000 |
RBC Dain Rauscher Incorporated | Royal Bank of Canada | financial services | investor protection violation | 2002 | $500,000 |
Knight Securities, L.P. | Virtu Financial | financial services | investor protection violation | 2002 | $75,000 |
Josephthal & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2002 | $75,000 |
Norwest Investment Services, Inc. | Wells Fargo | financial services | investor protection violation | 2002 | $153,245 |
Western Asset Management Co. | Franklin Resources | financial services | investor protection violation | 2001 | $50,000 |
Legg Mason Fund Adviser, Inc. | Franklin Resources | financial services | investor protection violation | 2001 | $50,000 |
ABN AMRO Incorporated | ABN AMRO | financial services | investor protection violation | 2001 | $200,000 |
Legg Mason Wood Walker, Incorporated | Franklin Resources | financial services | investor protection violation | 2001 | $50,000 |
Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2001 | $800,000 |
First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $408,931 |
Dean Witter Reynolds Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $476,702 |
Fahnestock & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2000 | $20,000 |
Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2000 | $100,000 |
Dreyfus Corporation | Bank of New York Mellon | financial services | investor protection violation | 2000 | $950,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | $8,014,000 |
Wells Fargo Securities | Wells Fargo | financial services | investor protection violation | 2019 | $812,500 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2019 | $250,000 |
BB&T Securities | Truist Financial | financial services | investor protection violation | 2019 | $5,709,753 |
JPMorgan Chase Bank N.A. | JPMorgan Chase | financial services | investor protection violation | 2018 | $135,100,000 |
Bank of New York Mellon | Bank of New York Mellon | financial services | investor protection violation | 2018 | $54,000,000 |
MUFG Securities Americas Inc. | U.S. Bancorp | financial services | investor protection violation | 2018 | $1,400,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2019 | $17,363,847 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2019 | $11,715,395 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2019 | $2,971,462 |
First Republic Investment Management, Inc. | JPMorgan Chase | financial services | investor protection violation | 2019 | $1,005,194 |
Stifel and Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2019 | $6,037,175 |
Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2019 | $241,227 |
Sorrento Pacific Financial, LLC | Atria Wealth Solutions | financial services | investor protection violation | 2019 | $49,162 |
CUSO Financial Services, L.P. | Atria Wealth Solutions | financial services | investor protection violation | 2019 | $296,750 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2019 | $1,134,152 |
BB&T Securities, LLC | Truist Financial | financial services | investor protection violation | 2019 | $376,059 |
Next Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2019 | $1,405,349 |
Bok Financial Securities, Inc. | BOK Financial | financial services | investor protection violation | 2019 | $197,801 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2019 | $3,389,174 |
Principal Securities, Inc. | Principal Financial | financial services | investor protection violation | 2019 | $1,764,624 |
Transamerica Financial Advisors, Inc. | Aegon | financial services | investor protection violation | 2019 | $6,023,072 |
Comerica Securities, Inc. | Comerica | financial services | investor protection violation | 2019 | $186,377 |
Santander Securities LLC | Banco Santander | financial services | investor protection violation | 2019 | $270,539 |
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2019 | $3,528,377 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2019 | $9,333,516 |
TIAA-CREF Individual & Institutional Services, LLC | TIAA | financial services | investor protection violation | 2019 | $2,395,722 |
Raymond James Financial Services Advisors, Inc. | Raymond James Financial | financial services | investor protection violation | 2019 | $6,877,048 |
ProEquities, Inc. | Dai-ichi Life | financial services | investor protection violation | 2019 | $1,852,383 |
Santander Consumer USA Holdings Inc. | Banco Santander | financial services | investor protection violation | 2018 | $1,500,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2018 | $5,000,000 |
Deutsche Bank Trust Company Americas | Deutsche Bank | financial services | investor protection violation | 2019 | $500,000 |
BMO Capital Markets Corporation | Bank of Montreal | financial services | investor protection violation | 2019 | $3,946,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2019 | $647,000 |
Deutsche Bank AG | Deutsche Bank | financial services | Foreign Corrupt Practices Act | 2019 | $16,178,850 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | investor protection violation | 2019 | $42,700,000 |
Nomura Securities International Inc. | Nomura | financial services | investor protection violation | 2019 | $26,400,000 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2019 | $88,780,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2019 | $8,100,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2019 | $1,545,758 |
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. | Hilltop Holdings | financial services | investor protection violation | 2019 | $810,785 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2019 | $1,852,540 |
Virtu Americas LLC | Virtu Financial | financial services | investor protection violation | 2019 | $1,500,000 |
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. | Bank of Montreal | financial services | investor protection violation | 2019 | $37,980,000 |
Barclays PLC | Barclays | financial services | Foreign Corrupt Practices Act | 2019 | $6,308,726 |
GFI Securities LLC | BGC Partners | financial services | investor protection violation | 2019 | $4,300,000 |
Raymond James & Associates, Inc. et al. | Raymond James Financial | financial services | investor protection violation | 2019 | $15,000,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | financial services | investor protection violation | 2019 | $225,000 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | financial services | investor protection violation | 2019 | $2,700,000 |
BMO Capital Markets Corp. | Bank of Montreal | financial services | investor protection violation | 2019 | $1,950,000 |
Prudential Financial Inc. | Prudential Financial | financial services | investor protection violation | 2019 | $32,600,000 |
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network | Wells Fargo | financial services | investor protection violation | 2020 | $35,000,000 |
Wells Fargo & Co. | Wells Fargo | financial services | investor protection violation | 2020 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000 |
ABN AMRO Clearing Chicago LLC | ABN AMRO | financial services | investor protection violation | 2020 | $586,000 |
MetLife, Inc. | MetLife | financial services | investor protection violation | 2019 | $10,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2020 | $1,822,438 |
U.S. Bancorp Investments, Inc. | U.S. Bancorp | financial services | investor protection violation | 2020 | $15,992,441 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2020 | $5,000,000 |
RBC Capital Markets LLC | Royal Bank of Canada | financial services | investor protection violation | 2020 | $3,889,007 |
Merrill Lynch, Pierce and Fenner & Smith, Incorporated | Bank of America | financial services | investor protection violation | 2020 | $325,376 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2020 | $3,200,000 |
HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2020 | $725,000 |
Northern Trust Hedge Fund Services LLC | Northern Trust | financial services | investor protection violation | 2020 | $167,629 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2020 | $11,500,000 |
World Acceptance Corporation | World Acceptance Corporation | financial services | Foreign Corrupt Practices Act | 2020 | $21,700,000 |
VALIC Financial Advisors Inc. | American International Group | financial services | investor protection violation | 2020 | $39,900,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2020 | $10,000,000 |
Franklin Advisers and Inc. | Franklin Resources | financial services | investor protection violation | 2020 | $250,000 |
Franklin Templeton Investments Corp. | Franklin Resources | financial services | investor protection violation | 2020 | $75,000 |
BNP Paribas Securities Corp. | BNP Paribas | financial services | investor protection violation | 2020 | $250,000 |
SG Americas Securities LLC | Societe Generale | financial services | investor protection violation | 2020 | $1,550,000 |
Goldman Sachs Group Inc. | Goldman Sachs | financial services | Foreign Corrupt Practices Act | 2020 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2020 | $5,000,000 |
Transamerica Asset Management, Inc. | Aegon | financial services | investor protection violation | 2020 | $5,946,782 |
BGC Partners, Inc. | BGC Partners | financial services | investor protection violation | 2020 | $1,400,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2020 | $35,000,000 |
Fulton Financial Corporation | Fulton Financial | financial services | investor protection violation | 2020 | $1,500,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2020 | $600,000 |
Deutsche Bank AG | Deutsche Bank | financial services | Foreign Corrupt Practices Act | 2021 | $43,000,000 |
Pruco Securities, LLC | Prudential Financial | financial services | investor protection violation | 2020 | $18,252,341 |
Voya Financial Advisors, Inc. | Voya Financial | financial services | investor protection violation | 2020 | $22,919,155 |
Robinhood Financial LLC | Robinhood Markets | financial services | investor protection violation | 2020 | $65,000,000 |
RBC Capital Markets LLC | Royal Bank of Canada | financial services | investor protection violation | 2021 | $863,326 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | financial services | investor protection violation | 2021 | $389,425 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2021 | $2,109,458 |