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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
Donaldson, Lufkin & Jenrette Securities Corp.UBSinvestor protection violation2004SEC$1,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2004SEC$2,000,000
Brut, LLCNasdaq Inc.investor protection violation2003SEC$45,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsinvestor protection violation2003SEC$450,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002SEC$100,000
Dean Witter Reynolds Inc.Morgan Stanleyinvestor protection violation2002SEC$500,000
RBC Dain Rauscher IncorporatedRoyal Bank of Canadainvestor protection violation2002SEC$500,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2002SEC$75,000
Josephthal & Co., Inc.Oppenheimer Holdingsinvestor protection violation2002SEC$75,000
Norwest Investment Services, Inc.Wells Fargoinvestor protection violation2002SEC$153,245
Western Asset Management Co.Franklin Resourcesinvestor protection violation2001SEC$50,000
Legg Mason Fund Adviser, Inc.Franklin Resourcesinvestor protection violation2001SEC$50,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2001SEC$200,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesinvestor protection violation2001SEC$50,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2001SEC$800,000
First Union Securities, Inc.Wells Fargoinvestor protection violation2000SEC$408,931
Dean Witter Reynolds Inc.Morgan Stanleyinvestor protection violation2000SEC$476,702
Fahnestock & Co., Inc.Oppenheimer Holdingsinvestor protection violation2000SEC$20,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2000SEC$100,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000SEC$950,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019SEC$8,014,000
Wells Fargo SecuritiesWells Fargoinvestor protection violation2019SEC$812,500
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$250,000
BB&T SecuritiesTruist Financialinvestor protection violation2019SEC$5,709,753
JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2018SEC$135,100,000
Bank of New York MellonBank of New York Melloninvestor protection violation2018SEC$54,000,000
MUFG Securities Americas Inc.U.S. Bancorpinvestor protection violation2018SEC$1,400,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2019SEC$17,363,847
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2019SEC$11,715,395
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2019SEC$2,971,462
First Republic Investment Management, Inc.JPMorgan Chaseinvestor protection violation2019SEC$1,005,194
Stifel and Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2019SEC$6,037,175
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2019SEC$241,227
Sorrento Pacific Financial, LLCAtria Wealth Solutionsinvestor protection violation2019SEC$49,162
CUSO Financial Services, L.P.Atria Wealth Solutionsinvestor protection violation2019SEC$296,750
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019SEC$1,134,152
BB&T Securities, LLCTruist Financialinvestor protection violation2019SEC$376,059
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019SEC$1,405,349
Bok Financial Securities, Inc.BOK Financialinvestor protection violation2019SEC$197,801
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2019SEC$3,389,174
Principal Securities, Inc.Principal Financialinvestor protection violation2019SEC$1,764,624
Transamerica Financial Advisors, Inc.Aegoninvestor protection violation2019SEC$6,023,072
Comerica Securities, Inc.Comericainvestor protection violation2019SEC$186,377
Santander Securities LLCBanco Santanderinvestor protection violation2019SEC$270,539
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.Oppenheimer Holdingsinvestor protection violation2019SEC$3,528,377
LPL Financial LLCLPL Financialinvestor protection violation2019SEC$9,333,516
TIAA-CREF Individual & Institutional Services, LLCTIAAinvestor protection violation2019SEC$2,395,722
Raymond James Financial Services Advisors, Inc.Raymond James Financialinvestor protection violation2019SEC$6,877,048
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2019SEC$1,852,383
Santander Consumer USA Holdings Inc.Banco Santanderinvestor protection violation2018SEC$1,500,000
UBS Financial Services Inc.UBSinvestor protection violation2018SEC$5,000,000
Deutsche Bank Trust Company AmericasDeutsche Bankinvestor protection violation2019SEC$500,000
BMO Capital Markets CorporationBank of Montrealinvestor protection violation2019SEC$3,946,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019SEC$647,000
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2019SEC$16,178,850
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2019SEC$42,700,000
Nomura Securities International Inc.Nomurainvestor protection violation2019SEC$26,400,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2019SEC$88,780,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$8,100,000
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
Barclays PLCBarclaysForeign Corrupt Practices Act2019SEC$6,308,726
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
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
Northern Trust Hedge Fund Services LLCNorthern Trustinvestor protection violation2020SEC$167,629
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2020SEC$11,500,000
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
VALIC Financial Advisors Inc.American International Groupinvestor protection violation2020SEC$39,900,000
UBS Financial Services Inc.UBSinvestor protection violation2020SEC$10,000,000
Franklin Advisers and Inc.Franklin Resourcesinvestor protection violation2020SEC$250,000
Franklin Templeton Investments Corp.Franklin Resourcesinvestor protection violation2020SEC$75,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2020SEC$250,000
SG Americas Securities LLCSociete Generaleinvestor protection violation2020SEC$1,550,000
Goldman Sachs Group Inc.Goldman SachsForeign Corrupt Practices Act2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2020SEC$5,000,000
Transamerica Asset Management, Inc.Aegoninvestor protection violation2020SEC$5,946,782
BGC Partners, Inc.BGC Partnersinvestor protection violation2020SEC$1,400,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$35,000,000
Fulton Financial CorporationFulton Financialinvestor protection violation2020SEC$1,500,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2020SEC$600,000
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2021SEC$43,000,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2020SEC$18,252,341
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2020SEC$22,919,155
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.