Violation Tracker

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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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 Companies	Total Penalty $	Number of Records
Bank of America	$87,286,650,890	328
JPMorgan Chase	$39,688,888,209	277
UBS	$31,069,299,125	179
Wells Fargo	$27,616,269,231	266
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,729,358,987	111
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,780,502,443	203
BNP Paribas	$10,363,464,666	23

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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Company	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
LPL Financial, LLC	LPL Financial	investor protection violation	2015	NH-BSR	$750,000
Wells Fargo Advisors Financial Network, LLC	Wells Fargo	investor protection violation	2016	NH-BSR	$35,000
Ameriprise Financial Services, Inc.	Ameriprise Financial	investor protection violation	2016	NH-BSR	$30,800
Waddell & Reed, Inc.	Macquarie	investor protection violation	2016	NH-BSR	$900,000
NYLIFE Securities LLC	New York Life Insurance	investor protection violation	2017	NH-BSR	$7,500
State Street Bank and Trust Company	State Street Corp.	investor protection violation	2018	NH-BSR	$325,000
Morgan Stanley Smith Barney, LLC	Morgan Stanley	investor protection violation	2018	NH-BSR	$983,284
Santander Securities, LLC	Banco Santander	investor protection violation	2018	NH-BSR	$31,562
Berthel Fisher & Company Financial Services, Inc	Berthel Fisher	investor protection violation	2019	NH-BSR	$415,407
Santander Securities, LLC	Banco Santander	investor protection violation	2019	NH-BSR	$50,000
NEXT Financial Group, Inc	Atria Wealth Solutions	investor protection violation	2019	NH-BSR	$325,000
Solium Financial Services LLC	Morgan Stanley	investor protection violation	2020	NH-BSR	$90,000
LPL Financial LLC	LPL Financial	investor protection violation	2020	NH-BSR	$976,000
E*Trade Securities LLC	Morgan Stanley	investor protection violation	2021	NH-BSR	$5,000
Merrill Lynch, Pierce, Fenner & Smith Inc.	Bank of America	investor protection violation	2020	NH-BSR	$26,250,000
LPL Financial LLC	LPL Financial	investor protection violation	2022	NH-BSR	$10,307
Merrill Lynch, Pierce, Fenner and Smith Inc.	Bank of America	privacy violation	2023	NH-BSR	$700,000
Northwestern Mutual Investment Services, LLC	Northwestern Mutual	investor protection violation	2023	NH-BSR	$200,000
Prospect Mortgage, LLC	Homebridge Financial Services	consumer protection violation	2012	NH-BKG	$101,185
Seterus, Inc.	Mr. Cooper Group	consumer protection violation	2014	NH-BKG	$10,000
Santander Consumer USA Inc.	Banco Santander	consumer protection violation	2015	NH-BKG	$75,000
Prosper Funding LLC and Prosper Marketplace, Inc.	Prosper Marketplace	consumer protection violation	2016	NH-BKG	$39,000
CashCall, Inc.	CashCall Inc.	consumer protection violation	2019	NH-BKG	$188,880
CashCall Inc. and WS Funding LLC	CashCall Inc.	consumer protection violation	2019	NH-BKG	$188,800
Navient Corp. and Navient Solutions, LLC	Navient	consumer protection violation	2022	NH-AG	$3,590,988
American Family Mutual Insurance Company	American Family Insurance	insurance violation	2016	NE-DOI	$15,000
American Family Insurance Company	American Family Insurance	insurance violation	2018	NE-DOI	$15,000
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2018	NE-DOI	$7,500
Transamerica Life Insurance Company	Aegon	insurance violation	2022	NE-DOI	$25,000
U.S. Bancorp Piper Jaffray Inc.	Piper Sandler	investor protection violation	2002	NE-DBF	$5,000
A.G. Edwards & Sons Inc.	Wells Fargo	investor protection violation	2003	NE-DBF	$20,000
Pruco Securities, LLC	Prudential Financial	investor protection violation	2006	NE-DBF	$12,500
Eaton Vance Income Fund of Boston	Morgan Stanley	investor protection violation	2006	NE-DBF	$17,000
CitiFinancial, Inc.	Citigroup	consumer protection violation	2007	NE-DBF	$81,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2007	NE-DBF	$10,200
Berthel, Fisher & Company Financial Services, Inc.	Berthel Fisher	investor protection violation	2007	NE-DBF	$5,000
American General Financial Services, Inc.	OneMain Holdings	consumer protection violation	2008	NE-DBF	$30,000
Ameritas Investment Corp.	Ameritas Mutual Holding Company	investor protection violation	2008	NE-DBF	$11,000
Cadaret, Grant & Co., Inc.	Atria Wealth Solutions	investor protection violation	2008	NE-DBF	$10,000
Household Finance Corpoation	HSBC	consumer protection violation	2008	NE-DBF	$55,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2009	NE-DBF	$42,850
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2009	NE-DBF	$5,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2009	NE-DBF	$5,250
CIT Group	First Citizens BancShares	consumer protection violation	2009	NE-DBF	$52,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2009	NE-DBF	$29,800
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2009	NE-DBF	$24,400
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2009	NE-DBF	$11,050
Ace Cash Express, Inc.	ACE Cash Express	consumer protection violation	2009	NE-DBF	$15,550
Ace Cash Express, Inc.,	ACE Cash Express	consumer protection violation	2010	NE-DBF	$7,000
Ace Cash Express, Inc.	ACE Cash Express	consumer protection violation	2010	NE-DBF	$11,950
Ace Cash Express, Inc.	ACE Cash Express	consumer protection violation	2010	NE-DBF	$8,550
Ace Cash Express, Inc.	ACE Cash Express	consumer protection violation	2010	NE-DBF	$6,550
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2010	NE-DBF	$18,350
Ace Cash Express, Inc.	ACE Cash Express	consumer protection violation	2012	NE-DBF	$5,400
American Express Travel Related Services Company, Inc.	American Express	consumer protection violation	2011	NE-DBF	$35,000
Ace Cash Express, Inc.	ACE Cash Express	consumer protection violation	2012	NE-DBF	$7,000
Home Loan Center Inc., d/b/a LendingTree Loans	LendingTree	consumer protection violation	2012	NE-DBF	$6,000
Ace Cash Express, Inc.	ACE Cash Express	consumer protection violation	2012	NE-DBF	$5,800
Securian Financial Services, Inc.	Securian Financial	consumer protection violation	2013	NE-DBF	$5,500
Ameriprise Financial Services Inc.	Ameriprise Financial	consumer protection violation	2013	NE-DBF	$10,000
Edward D. Jones & Co., L.P.	Jones Financial	consumer protection violation	2013	NE-DBF	$12,500
Stifel, Nicolaus & Company Inc.	Stifel Financial	investor protection violation	2014	NE-DBF	$61,000
Ace Cash Express, Inc.	ACE Cash Express	consumer protection violation	2014	NE-DBF	$18,900
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2015	NE-DBF	$5,600
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2015	NE-DBF	$6,100
Ace Cash Express, Inc.	ACE Cash Express	consumer protection violation	2015	NE-DBF	$5,450
Ace Cash Express, Inc.	ACE Cash Express	consumer protection violation	2015	NE-DBF	$20,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2015	NE-DBF	$9,050
Great Plains Specialty Finance, Inc., d/b/a Check 'n go	CNG Financial	consumer protection violation	2016	NE-DBF	$5,100
Great Plains Specialty Finance, Inc., d/b/a Check 'n go	CNG Financial	consumer protection violation	2017	NE-DBF	$49,600
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2018	NE-DBF	$9,000
Great Plains Specialty Finance, Inc. d/b/a Check 'n Go	CNG Financial	consumer protection violation	2019	NE-DBF	$12,850
Great Plains Specialty Finance, Inc. d/b/a Check 'n Go	CNG Financial	consumer protection violation	2019	NE-DBF	$13,500
Solium Financial Services LLC	Morgan Stanley	consumer protection violation	2019	NE-DBF	$14,000
Great Plains Specialty Finance, Inc. dba Check 'n Go	CNG Financial	consumer protection violation	2020	NE-DBF	$9,700
US Bancorp Piper Jaffray Inc.	Piper Sandler	investor protection violation	2001	ND-SEC	$23,250
Edward D. Jones & Co. LP	Jones Financial	investor protection violation	2003	ND-SEC	$7,000
Berthel Fisher and Company Financial Services Inc.	Berthel Fisher	investor protection violation	2003	ND-SEC	$12,303
Principal Life Insurance Company	Principal Financial	investor protection violation	2004	ND-SEC	$30,000
Berthel Fisher and Company Financial Services Inc.	Berthel Fisher	investor protection violation	2004	ND-SEC	$20,000
Piper Jaffray & Co.	Piper Sandler	investor protection violation	2004	ND-SEC	$20,000
Piper Jaffray & Co.	Piper Sandler	investor protection violation	2004	ND-SEC	$17,000
Piper Jaffray & Co.	Piper Sandler	investor protection violation	2005	ND-SEC	$30,000
Piper Jaffray & Co.	Piper Sandler	investor protection violation	2006	ND-SEC	$17,204
Investment Centers of America Inc.	LPL Financial	investor protection violation	2006	ND-SEC	$6,000
Berthel Fisher and Company Financial Services Inc.	Berthel Fisher	investor protection violation	2006	ND-SEC	$8,000
Piper Jaffray & Co.	Piper Sandler	investor protection violation	2006	ND-SEC	$229,000
Wachovia Securities LLC	Wells Fargo	investor protection violation	2007	ND-SEC	$75,000
Conseco Senior Health Insurance Company	CNO Financial	insurance violation	2001	ND-INS	$5,000
Farmers Insurance Exchange	Farmers Insurance Exchange	insurance violation	2007	ND-INS	$750,000
American Family Mutual Insurance Company	American Family Insurance	insurance violation	2009	ND-INS	$5,000
Austin Mutual Insurance Company	American Family Insurance	insurance violation	2014	ND-INS	$10,000
Producers Agriculture Insurance Company	Tokio Marine	insurance violation	2022	ND-INS	$5,000
UBS	UBS	toxic securities abuses	2016	NCUA	$69,800,000
Credit Suisse	UBS	toxic securities abuses	2016	NCUA	$50,300,000
Morgan Stanley	Morgan Stanley	toxic securities abuses	2015	NCUA	$225,000,000
Wachovia	Wells Fargo	toxic securities abuses	2015	NCUA	$53,000,000
Barclays Capital Inc.	Barclays	toxic securities abuses	2015	NCUA	$325,000,000
Royal Bank of Scotland plc	NatWest Group PLC	toxic securities abuses	2015	NCUA	$129,600,000
Bank of America	Bank of America	toxic securities abuses	2013	NCUA	$165,000,000
HSBC	HSBC	toxic securities abuses	2012	NCUA	$5,250,000