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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals 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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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CompanyCurrent ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2012SEC$5,000,000
AXA RosenbergAXAinvestor protection violation2011SEC$242,000,000
Merrill LynchBank of Americainvestor protection violation2011SEC$10,000,000
Regions BankRegions Financialinvestor protection violation2010SEC$1,000,001
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.investor protection violation2010SEC$112,600,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2010SEC$313,300,000
Assurant Inc.Assurantaccounting fraud or deficiencies2010SEC$3,500,000
ICAP plcCME Groupinvestor protection violation2009SEC$25,000,000
J.P. Morgan Securities Inc.JPMorgan Chasekickbacks and bribery2009SEC$75,000,000
Regions BankRegions Financialinvestor protection violation2009SEC$1,000,000
Bank of America CorporationBank of Americainvestor protection violation2009SEC$33,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2009SEC$500,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009SEC$17,300,000
Evergreen Investment Management Company LLCWells Fargoinvestor protection violation2009SEC$40,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2009SEC$7,000,000
UBS AGUBStax violations2009SEC$200,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009SEC$1,000,000
Zurich Financial ServicesZurich Insuranceaccounting fraud or deficiencies2008SEC$25,000,000
AmSouth BankRegions Financialinvestor protection violation2008SEC$11,400,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2008SEC$950,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008SEC$9,763,634
Fidelity InvestmentsFidelity Investmentskickbacks and bribery2008SEC$8,000,000
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)investor protection violation2007SEC$50,000,000
Evergreen Investment Management CompanyWells Fargoinvestor protection violation2007SEC$32,500,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2007SEC$10,500,000
Swiss Re Financial Products CorporationSwiss Reinvestor protection violation2007SEC$95,000
General American Life Insurance CompanyMetLifeinvestor protection violation2007SEC$3,300,000
First BanCorpFirst Bancorp (Puerto Rico)accounting fraud or deficiencies2007SEC$8,500,000
Barclays Bank PLCBarclaysinsider trading2007SEC$10,943,561
The BISYS GroupCitigroupaccounting fraud or deficiencies2007SEC$25,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2007SEC$7,957,200
Zurich Capital Markets Inc.Zurich Insuranceinvestor protection violation2007SEC$16,800,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2007SEC$3,860,000
Banc of America Securities LLCBank of Americafraud2007SEC$26,000,000
Goldman Sachs Execution and Clearing L.P.Goldman Sachsinvestor protection violation2007SEC$2,000,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsaccounting fraud or deficiencies2007SEC$15,000,000
MBIA Inc.MBIAaccounting fraud or deficiencies2007SEC$50,000,000
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007SEC$40,000,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.insider trading2006SEC$3,755,839
Hartford Financial Services Group, Inc.Hartford Financial Servicesinvestor protection violation2006SEC$55,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2006SEC$10,000,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2006SEC$125,000
Banc of America Securities LLCBank of Americainvestor protection violation2006SEC$750,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2006SEC$1,500,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2006SEC$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2006SEC$1,500,000
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2006SEC$125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006SEC$1,500,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006SEC$125,000
RBC Dain Rauscher IncRoyal Bank of Canadainvestor protection violation2006SEC$1,500,000
SunTrust Capital Markets Inc.Truist Financialinvestor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2006SEC$125,000
Federal National Mortgage Association (Fannie Mae)Fannie Maeaccounting fraud or deficiencies2006SEC$400,000,000
Morgan Stanley & Co.Morgan Stanleydata submission deficiencies2006SEC$10,000,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$250,000,000
American International Group, Inc.American International Groupinvestor protection violation2006SEC$800,000,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$30,000,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005SEC$72,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$125,000,000
Huntington Bancshares, Inc.Huntington Bancsharesaccounting fraud or deficiencies2005SEC$7,500,000
Citigroup, Inc.Citigroupinvestor protection violation2005SEC$208,000,000
New York Stock Exchange, Inc.IntercontinentalExchange Groupinvestor protection violation2005SEC$20,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2005SEC$20,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLCBank of Americainvestor protection violation2005SEC$375,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialinvestor protection violation2005SEC$140,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2005SEC$40,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2005SEC$40,000,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2005SEC$10,000,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2004SEC$75,000,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2004SEC$66,500,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesinvestor protection violation2004SEC$20,000,000
American International Group, Inc.American International Groupinvestor protection violation2004SEC$46,000,000
Wachovia CorporationWells Fargoinvestor protection violation2004SEC$37,000,000
AIM Advisors, Inc. and AIM Distributors, Inc.Invescoinvestor protection violation2004SEC$50,000,000
Invesco Funds Group, Inc.Invescoinvestor protection violation2004SEC$325,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004SEC$2,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzinvestor protection violation2004SEC$11,600,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2004SEC$350,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzinvestor protection violation2004SEC$50,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2004SEC$87,500,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2004SEC$12,500,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2004SEC$125,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2004SEC$875,000
Morgan Keegan & Co., Inc.Raymond James Financialinvestor protection violation2004SEC$875,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialinvestor protection violation2004SEC$375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankinvestor protection violation2004SEC$125,000
Janus Capital Management LLCJanus Hendersoninvestor protection violation2004SEC$100,000,000
Conseco, Inc.CNO Financialinvestor protection violation2004SEC$15,000,000
Fidelity Brokerage Services, LLCFidelity Investmentsinvestor protection violation2004SEC$1,000,000
Franklin Advisers, Inc.Franklin Resourcesinvestor protection violation2004SEC$50,000,000
Banc One Investment Advisors CorporationJPMorgan Chaseinvestor protection violation2004SEC$50,000,000
Wilmington Trust CompanyM&T Bankinvestor protection violation2004SEC$125,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2004SEC$80,000,000
Putnam Investment Management LLCFranklin Resourcesinvestor protection violation2004SEC$55,000,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2004SEC$50,000,000
Spear, Leeds & Kellogg Specialists LLCGoldman Sachsinvestor protection violation2004SEC$45,272,478
FleetBoston Financial CorporationBank of Americainvestor protection violation2004SEC$140,000,000
Banc of America Securities LLCBank of Americainvestor protection violation2004SEC$10,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.