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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 Type sort iconYearAgencyPenalty Amount
Merrill Lynch & Co. Inc.Bank of Americainvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Merrill Lynch Commodities, Inc.Bank of Americainvestor protection violation2019CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005NJ-AG$10,000,000
Merrill, Lynch, Pierce, Fenner and Smith, Inc.Bank of Americainvestor protection violation2010NJ-AG$728,260
Morgan StanleyMorgan Stanleyinvestor protection violation2008MULTI-AG$3,535,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2019CA-AG$150,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2011NJ-AG$1,560,000
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2013NJ-AG$100,000
Morgan Stanley DWMorgan Stanleyinvestor protection violation2005DE-AG$700,000
Nomura Securities International Inc.Nomurainvestor protection violation2019SEC$26,400,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2010MULTI-AG$31,000,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsinvestor protection violation2013MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,800,000
OppenheimerFundsInvescoinvestor protection violation2010NM-AG$67,300,000
OppenheimerFunds Inc.Invescoinvestor protection violation2009OR-AG$20,000,000
OppenheimerFunds, Inc.Invescoinvestor protection violation2009IL-AG$77,230,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011NJ-AG$35,000
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2010NJ-AG$51,724
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2008MULTI-AG$859,800,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013NJ-AG$450,000
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2009DE-AG$22,156
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $400,000,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-AG$5,000,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-AG$978,000
St. Paul Travelers Companies Inc.Travelersinvestor protection violation2005NM-AG$67,500,000
State Street BankState Street Corp.investor protection violation2010WA-AG$11,700,000
State Street Bank & Trust Co.State Street Corp.investor protection violation2010MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
State Street Bank and Trust Co.State Street Corp.investor protection violation2016MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2019SEC$88,780,000
Strong Capital Management Co.Wells Fargoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $115,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009MULTI-AG$456,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2015MA-AG$160,000
The Hartford Financial Services GroupHartford Financial Servicesinvestor protection violation2006MULTI-AG$20,000,000
UBSUBSinvestor protection violation2010MI-AG$117,000,000
UBS Financial Services Inc.UBSinvestor protection violation2006NJ-AG$24,750,000
UBS Financial Services, IncUBSinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services, Inc.UBSinvestor protection violation2013DE-AG$70,077
UBS Financial Services, Inc.UBSinvestor protection violation2007NY-AG$23,300,000
UBS Securities LLC and UBS Financial Services, IncUBSinvestor protection violation2011NJ-AG$3,790,487
UBS Securities LLC and UBS Financial Services, Inc.UBSinvestor protection violation2008MULTI-AG$11,150,000,000
UBS Warburg LLCUBSinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2006MULTI-AG$25,000,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007MD-AG$402,386
Wachovia SecuritiesWells Fargoinvestor protection violation2008MULTI-AG$60,000,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2009DE-AG$309,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2011NJ-AG$3,200,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$8,100,000
Wells FargoWells Fargoinvestor protection violation2009CA-AG$1,400,000,000
Wells Fargo & CompanyWells Fargoinvestor protection violation2018NY-AG$65,000,000
BGC Financial, L.P.BGC Partnersinvestor protection violation2019CFTC$3,000,000
Wells Fargo Bank, N.A.Wells Fargoinvestor protection violation2019CFTC$14,475,000
BGC Financial, LPBGC Partnersinvestor protection violation2019CFTC$15,000,000
GFI Securities, LLCBGC Partnersinvestor protection violation2019CFTC$10,000,000
Morgan Stanley Capital Group Inc.Morgan Stanleyinvestor protection violation2019CFTC$1,500,000
PNC Bank, National AssociationPNC Financial Servicesinvestor protection violation2019CFTC$300,000
Bank of New York MellonBank of New York Melloninvestor protection violation2019CFTC$750,000
NatWest Markets PlcNatWest Group PLCinvestor protection violation2019CFTC$850,000
Northern Trust CompanyNorthern Trustinvestor protection violation2019CFTC$1,000,000
Societe Generale International LimitedSociete Generaleinvestor protection violation2019CFTC$2,500,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2019CFTC$650,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2019CFTC$5,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019CFTC$300,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019SEC$1,545,758
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsinvestor protection violation2019SEC$810,785
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$1,852,540
Virtu Americas LLCVirtu Financialinvestor protection violation2019SEC$1,500,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealinvestor protection violation2019SEC$37,980,000
GFI Securities LLCBGC Partnersinvestor protection violation2019SEC$4,300,000
Raymond James & Associates, Inc. et al.Raymond James Financialinvestor protection violation2019SEC$15,000,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2019SEC$225,000
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2019SEC$2,700,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2019SEC$1,950,000
Prudential Financial Inc.Prudential Financialinvestor protection violation2019SEC$32,600,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006NY-AG$1,040,964
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2019CFTC$1,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargoinvestor protection violation2020SEC$35,000,000
Wells Fargo & Co.Wells Fargoinvestor protection violation2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2020SEC$586,000
MetLife, Inc.MetLifeinvestor protection violation2019SEC$10,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$1,822,438
U.S. Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2020SEC$15,992,441
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2020SEC$5,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2020SEC$3,889,007
Merrill Lynch, Pierce and Fenner & Smith, IncorporatedBank of Americainvestor protection violation2020SEC$325,376
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2020SEC$3,200,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2020SEC$725,000
Edward D. Jones and Co.,LPJones Financialinvestor protection violation2003AK-DBS$11,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2010AK-DBS$129,131
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010AK-DBS$150,507
UBS Securities LLCUBSinvestor protection violation2010AK-DBS$733,465
UBS Financial Services, Inc.UBSinvestor protection violation2013AK-DBS$64,661
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013AK-DBS$44,370
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014AK-DBS$51,120
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2015AK-DBS$35,000
LPL Financial LLCLPL Financialinvestor protection violation2019AK-DBS$499,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2020AK-DBS$10,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AK-DBS$10,527
Prudential Equity Group, Inc.Prudential Financialinvestor protection violation2005AL-SEC$45,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.