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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 CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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 TypeYearAgency sort iconPenalty Amount
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.investor protection violation2015SEC$420,000
UBS Financial Services Inc.UBSinvestor protection violation2015SEC$480,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2015SEC$500,000
Macquarie Capital Investment Management LLC, et alMacquarieinvestor protection violation2015SEC$120,000
Voya Holdings Inc.Voya Financialinvestor protection violation2018SEC$3,600,000
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americainvestor protection violation2018SEC$1,404,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2018SEC$14,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018SEC$4,450,000
Ameriprise Financial ServicesAmeriprise Financialinvestor protection violation2018SEC$230,000
PNC Investments LLCPNC Financial Servicesinvestor protection violation2018SEC$7,307,770
Brown Brothers Harriman & Co.Brown Brothers Harrimaninvestor protection violation2014SEC$120,000
Royal Bank of Scotland Group plcNatWest Group PLCinvestor protection violation2014SEC$120,000
Bank of America CorporationBank of Americainvestor protection violation2014SEC$20,000,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2013SEC$300,000
Knight Capital Americas LLCVirtu Financialinvestor protection violation2013SEC$12,000,000
ABN AMRO Bank, N.V.ABN AMROinvestor protection violation2013SEC$5,547,408
UBS O'Connor, LLCUBSinvestor protection violation2013SEC$5,297,716
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.investor protection violation2013SEC$10,000,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsinvestor protection violation2013SEC$2,886,677
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2012SEC$100,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSinvestor protection violation2011SEC$2,500,000
BNY Mellon Securities LLCBank of New York Melloninvestor protection violation2011SEC$24,045,447
Banc of America Securities LLCBank of Americaprice-fixing or anti-competitive practices2010SEC$36,096,442
World Group Securities, Inc.Aegoninvestor protection violation2010SEC$200,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsinvestor protection violation2010SEC$225,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2010SEC$470,147
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018SEC$34,500,000
AEGON USA Investment Management LLC et al.Aegoninvestor protection violation2018SEC$97,600,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2018SEC$8,900,000
CitigroupCitigroupaccounting fraud or deficiencies2018SEC$10,500,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SEC$4,500,000
Mizuho Securities USA LLCMizuho Financialinvestor protection violation2018SEC$1,250,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018SEC$73,200,000
Credit Suisse Group AGUBSForeign Corrupt Practices Act2018SEC$29,700,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2018SEC$3,600,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2018SEC$5,108,441
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2018SEC$42,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2018SEC$15,700,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2018SEC$860,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2018SEC$2,800,000
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americainvestor protection violation2018SEC$8,872,723
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2018SEC$1,250,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2009SEC$150,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2009SEC$50,000
New York Life Investment Management LLCNew York Life Insuranceinvestor protection violation2009SEC$6,100,784
American Skandia Investment Services, Inc.Prudential Financialinvestor protection violation2009SEC$68,000,000
TD Options LLCToronto-Dominion Bankinvestor protection violation2009SEC$1,000,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsinvestor protection violation2009SEC$7,200,000
Knight Financial Products, LLCVirtu Financialinvestor protection violation2009SEC$2,040,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2009SEC$125,000
Oppenheimer & Co. IncOppenheimer Holdingsinvestor protection violation2009SEC$850,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2009SEC$8,384,932
Ferris, Baker Watts, Inc.Royal Bank of Canadainvestor protection violation2009SEC$800,656
Gabelli Funds, LLCGamco Investors Inc.investor protection violation2009SEC$450,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2018SEC$1,900,000
Citibank N.A.Citigroupinvestor protection violation2018SEC$38,700,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2018SEC$5,000,000
LendingClub Asset Management LLCLendingClub Corp.investor protection violation2018SEC$5,000,000
Voya Financial Advisors Inc.Voya Financialinvestor protection violation2018SEC$1,000,000
SG Americas Securities LLC (Societe Generale)Societe Generaleinvestor protection violation2018SEC$800,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2018SEC$12,937,475
Convergex Execution Solutions LLCToronto-Dominion Bankdata submission deficiencies2018SEC$2,750,000
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2018SEC$513,194
Putnam Investment Management, LLCFranklin Resourcesinvestor protection violation2018SEC$1,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2018SEC$500,000
Heartland Payment Systems, LLCGlobal Payments Inc.investor protection violation2018SEC$2,160,000
BB&T Securities, LLCTruist Financialinvestor protection violation2018SEC$100,000
LPL Financial CorporationLPL Financialinvestor protection violation2008SEC$275,000
E*Trade Clearing LLCMorgan Stanleyinvestor protection violation2008SEC$500,000
Gabelli Funds LLCGamco Investors Inc.investor protection violation2008SEC$16,000,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2008SEC$1,998,143
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2007SEC$17,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2007SEC$7,500,000
Smith Barney Fund Management LLCMorgan Stanleyinvestor protection violation2007SEC$450,000
Putnam Investment Management, LLCFranklin Resourcesinvestor protection violation2007SEC$350,000
AllianceBernstein, L.P.Equitable Holdingsinvestor protection violation2007SEC$450,000
John Hancock Investment Management Services, LLCManulife Financialinvestor protection violation2007SEC$19,787,879
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2007SEC$200,000
Deutsche Bank Trust Company AmericasDeutsche Bankinvestor protection violation2007SEC$750,000
The Bank Of New YorkBank of New York Melloninvestor protection violation2007SEC$750,000
Wilmington Trust CompanyM&T Bankinvestor protection violation2007SEC$100,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2006SEC$442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.Deutsche Bankinvestor protection violation2006SEC$17,200,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2006SEC$2,185,927
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankinvestor protection violation2006SEC$19,329,729
Waddell & Reed, Inc.Macquarieinvestor protection violation2006SEC$50,000,000
Metropolitan Life Insurance CompanyMetLifeinvestor protection violation2006SEC$250,000
New England Securities Corp.MetLifeinvestor protection violation2006SEC$2,614,865
Morgan Keegan & Co., Inc.Raymond James Financialinvestor protection violation2006SEC$558,806
CIBC World Markets CorporationCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$496,598
State Street Research & Management CompanyBlackRockinvestor protection violation2005SEC$585,743
Legg Mason Wood Walker, IncorporatedFranklin Resourcesinvestor protection violation2005SEC$1,000,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2005SEC$500,000
Prudential Equity Group, LLCPrudential Financialinvestor protection violation2005SEC$125,000
UBS Securities LLCUBSinvestor protection violation2005SEC$700,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americainvestor protection violation2005SEC$1,500,000
Credit Suisse First Boston, LLCUBSinvestor protection violation2005SEC$200,000
Fiserv Securities, Inc.Fidelity Investmentsinvestor protection violation2005SEC$15,000,000
Putnam Investment Management, LLCFranklin Resourcesinvestor protection violation2005SEC$40,000,001
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2005SEC$700,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSinvestor protection violation2004SEC$1,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.