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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,002,583,076
Number of Records: 6,975
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$82,898,016,192264
JPMorgan Chase$36,127,193,625218
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,879,318,334102
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649

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 Type sort iconYearAgencyPenalty Amount
Spear, Leeds & KelloggGoldman Sachsinvestor protection violation2001FINRA$10,000
E-Trade SecuritiesMorgan Stanleyinvestor protection violation2001FINRA$90,000
Banc of America Securities LLCBank of Americainvestor protection violation2001FINRA$40,000
Credit Suisse First Boston CorporationCredit Suisseinvestor protection violation2001FINRA$25,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2001FINRA$15,000
Chase Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Josephthal & Co., Inc.Oppenheimer Holdingsinvestor protection violation2001FINRA$2,300,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2001FINRA$225,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2001FINRA$10,000
First Union Brokerage Services, Inc.Wells Fargoinvestor protection violation2001FINRA$32,500
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2000FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2000FINRA$97,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
John Nuveen & Co., Inc.TIAAinvestor protection violation2000FINRA$6,630,000
First Union Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$350,000
J. P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2000FINRA$200,000
Kemper Distributors, Inc.Kemperinvestor protection violation2000FINRA$100,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2000FINRA$5,890,000
Raymond James & Associates Inc.Raymond James Financialinvestor protection violation2000FINRA$3,410,000
CS First Boston Corp.Credit Suisseinvestor protection violation2000FINRA$1,240,000
Piper Jaffray Inc.Piper Sandlerinvestor protection violation2000FINRA$933,000
Southwest Securities Inc.Hilltop Holdingsinvestor protection violation2000FINRA$500,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$100,000
Morgan Stanley & Co., Inc.Morgan Stanleyinvestor protection violation2000FINRA$495,000
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2020CT-SEC$250,000
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-SEC$7,500
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2021SD-SEC$20,000
Coinbase Inc.Coinbase Global Inc.investor protection violation2021CFTC$6,500,000
Credit SuisseCredit Suisseinvestor protection violation2021CFTC$1,500,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2021FINRA$69,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2021FINRA$11,650,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021MA-SEC$4,000,000
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
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2021SEC$340,193
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2021AR-SEC$50,000
UBS AGUBSinvestor protection violation2021CFTC$500,000
Societe Generale S.A.Societe Generaleinvestor protection violation2021CFTC$1,500,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2021CFTC$84,320,000
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2021CFTC$1,500,000
Citibank, N.A.Citigroupinvestor protection violation2021CFTC$1,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2021SEC$1,207,000
WEX Inc.WEX Inc.investor protection violation2021SEC$350,000
LPL Financial LLCLPL Financialinvestor protection violation2021SEC$891,202
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2021VA-SEC$10,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2021CFTC$75,000,000
J.P. Morgan Securities LLCΓö¼â”œÃ­JPMorgan Chaseinvestor protection violation2021SEC$125,000,000
LPL Financial LLCLPL Financialinvestor protection violation2021CT-SEC$500,000
Credit Suisse SecuritiesCredit Suisseinvestor protection violation2022FINRA$9,000,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022OK-SEC$15,000
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyinvestor protection violation2022SEC$4,628,194
Ameritas Investment Co.Ameritas Mutual Holding Companyinvestor protection violation2022NV-SEC$15,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2022VT-FIN$640,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of Americainvestor protection violation2022FINRA$15,200,000
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
First Republic Investment Management, Inc.First Republic Bankinvestor 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
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022USAO$5,763,000,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022CFTC$1,010,828
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$25,000,000
J.P. Morgan Securities Inc.JPMorgan Chasekickbacks and bribery2009SEC$75,000,000
Fidelity InvestmentsFidelity Investmentskickbacks and bribery2008SEC$8,000,000
JPMorgan SecuritiesJPMorgan Chasekickbacks and bribery2016DOJ_CRIMINAL$72,000,000
Prospect Mortgage, LLCHomebridge Financial Serviceskickbacks and bribery2011HUD$3,100,000
Fidelity National Financial, Inc.Fidelity National Financialkickbacks and bribery2011HUD$4,500,000
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2007HUD$5,000,000
Fidelity National Title Insurance CompanyFidelity National Financialkickbacks and bribery2007HUD$68,635
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2005HUD$680,000
Metropolitan Life Insurance CompanyMetLifekickbacks and bribery2010USAO$13,500,000
Liberty Mutual Insurance Co.Liberty Mutual Insurancekickbacks and bribery2010CT-AG$2,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennankickbacks and bribery2009CT-AG$2,400,000
Mutual of Omaha Insurance Co.Mutual of Omahakickbacks and bribery2008CT-AG$1,700,000
Principal Financial GroupPrincipal Financialkickbacks and bribery2007CT-AG$5,000,000
Unum GroupUnumkickbacks and bribery2008USAO$5,550,000
Metropolitan Life InsuranceMetLifekickbacks and bribery2008CA-MULTI$500,000
Prudential Insurance Co.Prudential Financialkickbacks and bribery2008CA-MULTI$350,000
Unum Insurance Co.Unumkickbacks and bribery2008CA-MULTI$250,000
VITOL, S.A.Vitolkickbacks and bribery2007NY-MANDA$17,500,000
TIAA-CREFTIAAlabor relations violation2016NLRB$304,216
Grandbridge Real Estate Capital, LLCTruist Financiallabor relations violation2015NLRB$70,000
Seterus, Inc.Mr. Cooper Grouplabor relations violation2013NLRB$72,162
Bank of America, National AssociationBank of Americalabor relations violation2013NLRB$18,634
IFCO SYSTEMSTriton Investments Adviserslabor relations violation2013NLRB$91,866
El Paso Electric CompanyJPMorgan Chaselabor relations violation2012NLRB$79,692
UBS Inc.UBSlabor relations violation2010NLRB$26,351
National City CorporationPNC Financial Serviceslabor relations violation2009NLRB$24,083
El Paso Electric CompanyJPMorgan Chaselabor relations violation2009NLRB$11,500
National City Corporation d/b/a National City BankPNC Financial Serviceslabor relations violation2008NLRB$49,597
PNC BankPNC Financial Serviceslabor relations violation2006NLRB$40,000
TD BanknorthToronto-Dominion Banklabor relations violation2006NLRB$5,000
J.P. Morgan Chase & Co. and Forum Temporary ServicesJPMorgan Chaselabor relations violation2006NLRB$60,760
Mercury Air Centers, Inc.Macquarielabor relations violation2006NLRB$40,000
USAA InsuranceUSAAlabor relations violation2005NLRB$125,361
Watson Wyatt & Co.Willis Towers Watsonlabor relations violation2005NLRB$91,000
CINCINNATI BELL TELEPHONE A DIVISION OF BROADWINGMacquarielabor relations violation2005NLRB$5,000
Wheelabrator Westchester, L.P.Macquarielabor relations violation2005NLRB$13,000
CINCINNATI BELLMacquarielabor relations violation2004NLRB$39,200
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.