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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 Companies | Total Penalty $ | Number of Records |
| Bank of America | $87,286,650,890 | 328 |
| JPMorgan Chase | $39,340,688,209 | 275 |
| 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.
| Company | Current Parent | Primary Offense Type | Year  | Agency | Penalty Amount |
| E-TRADE Securities, Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $20,000 |
| John Nuveen & Co., Inc. | TIAA | investor protection violation | 2000 | FINRA | $6,630,000 |
| First Union Securities, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $350,000 |
| J. P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2000 | FINRA | $200,000 |
| Kemper Distributors, Inc. | Kemper | investor protection violation | 2000 | FINRA | $100,000 |
| E-TRADE Securities, Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $20,000 |
| A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $5,890,000 |
| Raymond James & Associates Inc. | Raymond James Financial | investor protection violation | 2000 | FINRA | $3,410,000 |
| CS First Boston Corp. | UBS | investor protection violation | 2000 | FINRA | $1,240,000 |
| Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2000 | FINRA | $933,000 |
| Southwest Securities Inc. | Hilltop Holdings | investor protection violation | 2000 | FINRA | $500,000 |
| Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $100,000 |
| Morgan Stanley & Co., Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $495,000 |
| Countrywide Home Loans | Bank of America | environmental violation | 2000 | CA-SCAQMD | $5,000 |
| Providian Financial Corp. | JPMorgan Chase | consumer protection violation | 2000 | private lawsuit-federal | $105,000,000 |
| Western Union Co. | Western Union | consumer protection violation | 2000 | private lawsuit-federal | $375,000,000 |
| WHEELABRATOR SHASTA ENERGY CO. | Macquarie | workplace safety or health violation | 2000 | OSHA | $10,275 |
| DEPOSITORY TRUST & CLEARING CORP. | Depository Trust | workplace safety or health violation | 2000 | OSHA | $13,000 |
| BUCKEYE PIPELINE | IFM Investors | environmental violation | 2000 | EPA | $15,000 |
