Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgency sort icon . Penalty Amount
Nyrstar Gordonsville LLCTrafiguraenvironmental violation2013TN-ENV$5,000
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$35,000,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2016SEC$54,300,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2016SEC$15,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016SEC$4,000,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2015SEC$8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2015SEC$267,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinainvestor protection violation2015SEC$4,200,000
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
Credit Suisse Securities (USA) LLCCredit Suissedata submission deficiencies2015SEC$4,250,000
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
Morgan StanleyMorgan Stanleytoxic securities abuses2014SEC$275,000,000
Credit Suisse Group AGCredit Suisseinvestor protection violation2014SEC$196,000,000
Merrill LynchBank of Americatoxic securities abuses2013SEC$131,800,000
Fifth Third BancorpFifth Third Bancorpaccounting fraud or deficiencies2013SEC$6,500,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2013SEC$153,700,000
JPMorgan & Co.JPMorgan Chaseaccounting fraud or deficiencies2013SEC$200,000,000
UBS SecuritiesUBStoxic securities abuses2013SEC$50,000,000
Capital One Financial CorporationCapital One Financialaccounting fraud or deficiencies2013SEC$3,500,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2012SEC$296,900,000
Credit Suisse Securities (USA)Credit Suissetoxic securities abuses2012SEC$120,000,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinvestor protection violation2012SEC$1,625,000
Goldman Sachs & Co.Goldman Sachsillicit political contributions2012SEC$12,000,000
Wells FargoWells Fargotoxic securities abuses2012SEC$6,500,000
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
Option One Mortgage CorporationOcwen Financialtoxic securities abuses2012SEC$28,200,000
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
CitigroupCitigrouptoxic securities abuses2011SEC$285,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2011SEC$30,400,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2011SEC$850,000
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2011SEC$200,000,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2011SEC$153,600,000
Wells Fargo Securities LLCWells Fargotoxic securities abuses2011SEC$11,000,000
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
Citigroup Inc.Citigrouptoxic securities abuses2010SEC$75,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2010SEC$550,000,000
Bank of AmericaBank of Americainvestor protection violation2010SEC$150,000,000
BNY MellonBank of New York MellonForeign Corrupt Practices Act2015SEC$14,800,000
Allianz SEAllianzForeign Corrupt Practices Act2012SEC$12,396,423
Aon CorporationAonForeign Corrupt Practices Act2011SEC$14,545,020
State Street Bank and Trust CompanyState Street Corp.investor protection violation2016SEC$382,400,000
Citigroup Global MarketsCitigroupdata submission deficiencies2016SEC$7,000,000
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
INTL FCStoneStoneX Groupaccounting fraud or deficiencies2016SEC$150,000
KeyBanc Capital Markets Inc.KeyCorpaccounting fraud or deficiencies2016SEC$175,000
Ocwen Financial Corp.Ocwen Financialaccounting fraud or deficiencies2016SEC$2,000,000
State Street Bank and Trust CompanyState Street Corp.illicit political contributions2016SEC$12,000,000
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
OZ Management LPSculptor Capital Managementdata submission deficiencies2015SEC$4,250,000
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
First BancorpFirst Bancorp (North Carolina)accounting fraud or deficiencies2015SEC$275,000
Nationwide Life Insurance CompanyNationwideinvestor protection violation2015SEC$8,000,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015SEC$15,000,000
Hampton Roads BanksharesAtlantic Union Banksharesaccounting fraud or deficiencies2014SEC$200,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.