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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
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2020SEC$22,919,155
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2020SEC$65,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2021SEC$863,326
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2021SEC$389,425
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021SEC$2,109,458
UBS Financial Services Inc.UBSinvestor protection violation2021SEC$8,112,174
TIAA-CREF Individual & Institutional Services LLCTIAAaccounting fraud or deficiencies2021SEC$97,000,000
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2021SEC$340,193
First American Financial CorporationFirst American Financialprivacy violation2021SEC$487,616
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2021SEC$1,207,000
WEX Inc.WEX Inc.investor protection violation2021SEC$350,000
Credit Suisse Group AGUBSForeign Corrupt Practices Act2021SEC$99,000,000
LPL Financial LLCLPL Financialinvestor protection violation2021SEC$891,202
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2021SEC$125,000,000
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyinvestor protection violation2022SEC$4,628,194
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2022SEC$187,000,000
BNY Mellon Investment Adviser, Inc.Bank of New York Melloninvestor protection violation2022SEC$1,500,000
Wells Fargo AdvisorsWells Fargoanti-money-laundering deficiencies2022SEC$7,000,000
First Republic Investment Management, Inc.JPMorgan Chaseinvestor protection violation2022SEC$1,825,953
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$25,000,000
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2022SEC$956,833
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2022SEC$152,955
Janus Henderson Investors US LLCJanus Hendersoninvestor protection violation2022SEC$150,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2022SEC$1,200,000
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$925,000
Equitable Financial Life Insurance CompanyEquitable Holdingsinvestor protection violation2022SEC$50,000,000
Waddell & Reed, LLCMacquarieinvestor protection violation2022SEC$200,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2022SEC$35,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SEC$500,000
Barclays Bank PLCBarclaysinvestor protection violation2022SEC$361,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2022SEC$125,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2022SEC$125,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2022SEC$125,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2022SEC$125,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2022SEC$125,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2022SEC$125,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2022SEC$125,000,000
Nomura Securities International, Inc.Nomurainvestor protection violation2022SEC$50,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2022SEC$10,000,000
Goldman Sachs Asset Management, L.P.Goldman Sachsinvestor protection violation2022SEC$4,000,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2022SEC$198,323
KeyBanc Capital Markets Inc.KeyCorpinvestor protection violation2023SEC$397,135
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2023SEC$9,660,000
Chatham Asset Management LLCChatham Asset Managementinvestor protection violation2023SEC$18,800,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2023SEC$15,000,000
Scotia Capital (USA) Inc.Scotiabankinvestor protection violation2023SEC$7,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaanti-money-laundering deficiencies2023SEC$6,000,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2023SEC$709,971
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2023SEC$1,400,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2023SEC$4,000,000
Wells Fargo Securities, LLC et al.Wells Fargoinvestor protection violation2023SEC$125,000,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2023SEC$35,000,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2023SEC$35,000,000
BMO Capital Markets CorpBank of Montrealinvestor protection violation2023SEC$25,000,000
Mizuho Securities USA LLCMizuho Financialinvestor protection violation2023SEC$25,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2023SEC$10,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2023SEC$2,900,000
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023SEC$35,000,000
Wilmington Trust Investment Management, LLCM&T Bankinvestor protection violation2023SEC$1,327,147
Interactive Brokers Corp.Interactive Brokers Groupinvestor protection violation2023SEC$35,000,000
Nuveen Securities LLCTIAAinvestor protection violation2023SEC$8,500,000
Fifth Third Securities Inc.Fifth Third Bancorpinvestor protection violation2023SEC$8,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2023SEC$1,975,000
DWS Investment Management Americas Inc.Deutsche Bankinvestor protection violation2023SEC$25,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2023SEC$6,000,000
Royal Bank of CanadaRoyal Bank of Canadaaccounting fraud or deficiencies2023SEC$6,000,000
BlackRock Advisors, LLCBlackRockinvestor protection violation2023SEC$2,500,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2024SEC$18,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024SEC$83,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2023SEC$10,000,000
TIAA-CREF Individual & Institutional Services LLCTIAAinvestor protection violation2024SEC$2,200,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024SEC$16,500,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2024SEC$12,000,000
Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2024SEC$8,500,000
U.S. Bancorp Investments Inc.U.S. Bancorpinvestor protection violation2024SEC$8,000,000
Aon Investments USA Inc.Aoninvestor protection violation2024SEC$1,542,187
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SD-SEC$5,750
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2021SD-SEC$20,000
Nationwide Life Insurance CompanyNationwideinsurance violation2012SD-INS$40,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2013SD-INS$15,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2013SD-INS$5,000
Washington National Insurance CompanyCNO Financialinsurance violation2013SD-INS$125,000
Catlin Insurance Company Inc.AXAinsurance violation2013SD-INS$5,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2013SD-INS$5,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Property & Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2013SD-INS$5,000
Protective Life Insurance CompanyDai-ichi Lifeinsurance violation2014SD-INS$5,000
Protective Insurance CompanyProgressiveinsurance violation2014SD-INS$7,500
American General Life Insurance CompanyAmerican International Groupinsurance violation2014SD-INS$15,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2014SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2014SD-INS$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.