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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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 icon . YearAgencyPenalty Amount
UBS Willow Management LLC and UBS Fund Advisor LLCUBSinvestor protection violation2015SEC$17,500,000
UBS AGUBSinvestor protection violation2015SEC$19,500,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2015SEC$15,000,000
Citigroup Global MarketsCitigroupinvestor protection violation2015SEC$15,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupinvestor protection violation2015SEC$180,000,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2015SEC$20,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2015SEC$7,000,000
Merrill LynchBank of Americainvestor protection violation2015SEC$10,900,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2015SEC$55,000,000
BlackRock Advisors LLCBlackRockinvestor protection violation2015SEC$12,000,000
UBS Securities LLCUBSinvestor protection violation2015SEC$14,400,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2014SEC$4,000,000
HSBC Private Bank (Suisse)HSBCinvestor protection violation2014SEC$12,500,000
Bank of America CorporationBank of Americainvestor protection violation2014SEC$7,650,000
Barclays Capital Inc.Barclaysinvestor protection violation2014SEC$15,000,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2014SEC$5,000,000
Credit Suisse Group AGCredit Suisseinvestor protection violation2014SEC$196,000,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinvestor protection violation2012SEC$1,625,000
Mizuho Financial GroupMizuho Financialinvestor protection violation2012SEC$127,500,000
OppenheimerFunds Inc.Invescoinvestor protection violation2012SEC$35,000,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2012SEC$26,600,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2012SEC$22,000,000
UBS Global Asset ManagementUBSinvestor protection violation2012SEC$300,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2011SEC$3,300,000
UBS Securities LLCUBSinvestor protection violation2011SEC$8,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2011SEC$30,400,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2011SEC$850,000
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2011SEC$10,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011SEC$118,000,000
Bank of AmericaBank of Americainvestor protection violation2010SEC$150,000,000
Credit SuisseCredit Suisseinvestor protection violation2016CFTC$665,000
BNP Paribas SecuritiesBNP Paribasinvestor protection violation2015CFTC$140,000
Morgan StanleyMorgan Stanleyinvestor protection violation2015CFTC$300,000
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2014CFTC$35,000,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2014CFTC$280,000
Merrill LynchBank of Americainvestor protection violation2014CFTC$1,200,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2014CFTC$490,000
Morgan Stanley Capital GroupMorgan Stanleyinvestor protection violation2014CFTC$200,000
JPMorgan ChaseJPMorgan Chaseinvestor protection violation2013CFTC$100,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2013CFTC$1,000,000
Goldman SachsGoldman Sachsinvestor protection violation2012CFTC$1,500,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2012CFTC$200,000
JPMorgan Chase BankJPMorgan Chaseinvestor protection violation2012CFTC$600,000
CitigroupCitigroupinvestor protection violation2012CFTC$525,000
Morgan StanleyMorgan Stanleyinvestor protection violation2012CFTC$5,000,000
Goldman Sachs Execution & Clearing LPGoldman Sachsinvestor protection violation2012CFTC$7,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2012CFTC$140,000
BlackRock Institutional Trust Company NABlackRockinvestor protection violation2012CFTC$250,000
Merrill LynchBank of Americainvestor protection violation2011CFTC$350,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2016SEC$382,400,000
Merrill LynchBank of Americainvestor protection violation2016SEC$10,000,000
Merrill LynchBank of Americainvestor protection violation2016SEC$415,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2016SEC$1,000,000
J.P. Morgan Investment Management Inc.JPMorgan Chaseinvestor protection violation2015SEC$1,084,210
Omega Advisors, Inc.Omega Advisorsinvestor protection violation2015SEC$134,026
Guggenheim Partners Investment Management LLCGuggenheim Partnersinvestor protection violation2015SEC$20,000,000
BMO Capital Markets GKST Inc.Piper Sandlerinvestor protection violation2015SEC$250,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2015SEC$120,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015SEC$500,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2015SEC$500,000
Hutchinson, Shockey, Erley & Co.Huntington Bancsharesinvestor protection violation2015SEC$220,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2015SEC$500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2015SEC$500,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2015SEC$500,000
The Northern Trust CompanyNorthern Trustinvestor protection violation2015SEC$60,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2015SEC$400,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2015SEC$500,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015SEC$500,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2015SEC$500,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015SEC$500,000
Nationwide Life Insurance CompanyNationwideinvestor protection violation2015SEC$8,000,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015SEC$15,000,000
Wedbush SecuritiesWedbush Securitiesinvestor protection violation2014SEC$2,440,000
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2014SEC$61,800
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2014SEC$56,000
Investment Professionals Inc.Ameriprise Financialinvestor protection violation2014SEC$67,800
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014SEC$54,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2014SEC$61,200
Stifel Nicolaus & Co.Stifel Financialinvestor protection violation2014SEC$60,000
TD AmeritradeCharles Schwab Corp.investor protection violation2014SEC$100,800
UBS Financial ServicesUBSinvestor protection violation2014SEC$56,400
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2014SEC$67,200
E*TRADE SecuritiesMorgan Stanleyinvestor protection violation2014SEC$2,500,000
BlackRock Institutional Trust CompanyBlackRockinvestor protection violation2014SEC$1,675,350
LavaFlow Inc.Citigroupinvestor protection violation2014SEC$5,000,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2014SEC$4,500,000
Transamerica Financial AdvisorsAegoninvestor protection violation2014SEC$1,107,248
Western Asset Management CompanyFranklin Resourcesinvestor protection violation2014SEC$19,400,000
ConvergEx GroupCowen Inc.investor protection violation2013SEC$107,424,429
TD BankToronto-Dominion Bankinvestor protection violation2013SEC$15,000,000
Claritas Investments Ltd.Principal Financialinvestor protection violation2013SEC$144,819
Chicago Board Options ExchangeCBOE Holdingsinvestor protection violation2013SEC$6,000,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2012SEC$5,000,000
AXA RosenbergAXAinvestor protection violation2011SEC$242,000,000
Merrill LynchBank of Americainvestor protection violation2011SEC$10,000,000
Regions BankRegions Financialinvestor protection violation2010SEC$1,000,001
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.investor protection violation2010SEC$112,600,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2010SEC$313,300,000
Barclays Capital Inc.Barclaysinvestor protection violation2016CFTC$800,000
Barclays Bank PLCBarclaysinvestor protection violation2016CFTC$560,000
INTL FCStone Markets, LLCStoneX Groupinvestor protection violation2015CFTC$200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.