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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
Banc of America Securities LLCBank of Americainvestor protection violation2004SEC$10,000,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004SEC$3,706,693
Legg Mason Wood Walker, Inc.Franklin Resourcesinvestor protection violation2004SEC$2,315,467
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2004SEC$2,595,129
UBS Financial Services Inc.UBSinvestor protection violation2004SEC$4,621,768
Wachovia Securities, LLCWells Fargoinvestor protection violation2004SEC$4,844,465
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004SEC$225,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceaccounting fraud or deficiencies2003SEC$80,000,000
Alliance Capital Management L.P.Equitable Holdingsinvestor protection violation2003SEC$250,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003SEC$50,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003SEC$25,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2003SEC$10,000,000
Goldman SachsGoldman Sachsinvestor protection violation2003SEC$9,305,382
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2003SEC$917,858
UBS PaineWebber, Inc.UBSinvestor protection violation2003SEC$500,000
Deutsche Asset Management, Inc.Deutsche Bankinvestor protection violation2003SEC$750,000
SG Cowen Securities CorporationToronto-Dominion Bankinvestor protection violation2003SEC$5,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$101,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$19,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003SEC$135,000,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2003SEC$382,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupinvestor protection violation2003SEC$400,000,000
Credit Suisse First Boston LLCUBSinvestor protection violation2003SEC$200,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2003SEC$110,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2003SEC$200,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2003SEC$125,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003SEC$32,500,000
UBS Warburg LLCUBSinvestor protection violation2003SEC$80,000,000
Merrill Lynch & Co. Inc.Bank of Americaaccounting fraud or deficiencies2003SEC$80,000,000
Deutsche Bank Securities Inc.Deutsche Bankdata submission deficiencies2002SEC$1,650,000
Goldman, Sachs & Co.Goldman Sachsdata submission deficiencies2002SEC$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleydata submission deficiencies2002SEC$1,650,000
Salomon Smith Barney Inc.Morgan Stanleydata submission deficiencies2002SEC$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerdata submission deficiencies2002SEC$1,650,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2002SEC$100,000,000
Dain Rauscher IncorporatedRoyal Bank of Canadainvestor protection violation2000SEC$12,941,191
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2000SEC$5,200,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2000SEC$5,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2000SEC$2,500,000
PaineWebber IncorporatedUBSinvestor protection violation2000SEC$26,200,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2000SEC$5,880,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2000SEC$45,000,000
Warburg Dillon Read LLCUBSinvestor protection violation2000SEC$6,680,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2016SEC$2,500,000
Raymond James & AssociatesRaymond James Financialinvestor protection violation2016SEC$600,000
BOK Financial CorporationBOK Financialinvestor protection violation2016SEC$1,667,720
Park National CorporationPark National Corp.accounting fraud or deficiencies2016SEC$500,000
Merrill LynchBank of Americainvestor protection violation2016SEC$12,500,000
UBS Financial ServicesUBSinvestor protection violation2016SEC$15,025,882
Och-Ziff Capital Management GroupSculptor Capital ManagementForeign Corrupt Practices Act2016SEC$199,045,167
Credit Suisse AGUBSaccounting fraud or deficiencies2016SEC$90,000,000
Deutsche Bank SecuritiesDeutsche Bankinvestor protection violation2016SEC$9,500,000
Bank LeumiBank Leumiinvestor protection violation2016SEC$1,600,000
JPMorgan Chase & Co.JPMorgan ChaseForeign Corrupt Practices Act2016SEC$130,000,000
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2016SEC$24,500,000
Deutsche BankDeutsche Bankinvestor protection violation2016SEC$18,500,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2016SEC$7,500,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2017SEC$13,000,000
BNY MellonBank of New York Melloninvestor protection violation2017SEC$6,600,000
HomeStreet IncHomeStreet Inc.accounting fraud or deficiencies2017SEC$500,000
Citigroup Global MarketsCitigroupinvestor protection violation2017SEC$2,963,735
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2017SEC$2,963,735
Citigroup Global MarketsCitigroupinvestor protection violation2017SEC$18,300,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2017SEC$8,000,000
Barclays CapitalBarclaysinvestor protection violation2017SEC$97,037,659
State Street Bank and Trust CompanyState Street Corp.investor protection violation2017SEC$35,300,000
Banca IMI Securities Corp.Intesa Sanpaoloinvestor protection violation2017SEC$35,300,000
SunTrust BanksTruist Financialinvestor protection violation2017SEC$1,100,000
BlackRock Inc.BlackRockinvestor protection violation2017SEC$340,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2018SEC$1,304,197
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2018SEC$1,250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaanti-money-laundering deficiencies2017SEC$13,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2017SEC$8,750,000
Wells Fargo Advisors, LLCWells Fargoanti-money-laundering deficiencies2017SEC$3,500,000
UBS Financial Services, Inc.UBSinvestor protection violation2017SEC$3,500,000
Barclays Capital Inc.Barclaysinvestor protection violation2017SEC$12,710,040
Blackrock Fund AdvisorsBlackRockinvestor protection violation2017SEC$1,500,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2017SEC$5,754,714
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2017SEC$300,000
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2017SEC$3,095,953
Columbia Management Investment Services Corp.Ameriprise Financialinvestor protection violation2017SEC$250,000
BB&T Securities, LLCTruist Financialinvestor protection violation2016SEC$200,000
WL Ross & Co. LLCInvescoinvestor protection violation2016SEC$2,300,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargoinvestor protection violation2016SEC$440,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupinvestor protection violation2016SEC$20,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2016SEC$500,000
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2016SEC$360,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2016SEC$500,000
Keybanc Capital Markets Inc.KeyCorpinvestor protection violation2016SEC$440,000
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$500,000
SG Americas Securities LLCSociete Generaleinvestor protection violation2015SEC$1,011,093
KCG Americas LLCVirtu Financialinvestor protection violation2015SEC$1,055,197
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2015SEC$100,000
Comerica Securities, Inc.Comericainvestor protection violation2015SEC$60,000
BB&T Securities, LLCTruist Financialinvestor protection violation2015SEC$200,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015SEC$200,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2015SEC$20,000
U.S. Bank Municipal Securities GroupU.S. Bancorpinvestor protection violation2015SEC$60,000
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.investor protection violation2015SEC$420,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.