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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
Prudential Equity Group, Inc.Prudential Financialinvestor protection violation2005AL-SEC$45,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2005AL-SEC$100,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2010AL-SEC$15,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2012AL-SEC$60,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2017AL-SEC$20,000
LPL Financial LLCLPL Financialinvestor protection violation2018AL-SEC$80,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AL-SEC$18,874
Allied Home Mortgage Capital Corp.Americus Mortgageinvestor protection violation2009AR-SEC$10,000
Merrill Lynch & Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2010AR-SEC$15,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2012AR-SEC$59,659
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2013AR-SEC$6,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2018AR-SEC$50,000
LPL Financial LLCLPL Financialinvestor protection violation2019AR-SEC$40,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2019AR-SEC$5,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2000AZ-CC$125,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005AZ-CC$1,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2006AZ-CC$1,250,000
World Group Securities, Inc.Aegoninvestor protection violation2010AZ-CC$853,501
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013CA-DFPI$33,520
LendingClub Corp.LendingClub Corp.investor protection violation2015CA-DFPI$46,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018CA-DFPI$115,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CA-DFPI$52,047
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005CO-SEC$259,227
OppenheimerFunds Distributor, Inc.Invescoinvestor protection violation2007CO-SEC$494,500
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2013CO-SEC$20,232
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2006CT-SEC$52,480
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2006CT-SEC$3,500,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007CT-SEC$258,728
UBS Financial Services Inc.UBSinvestor protection violation2007CT-SEC$5,500,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2009CT-SEC$12,602
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2010CT-SEC$15,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2010CT-SEC$5,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010CT-SEC$75,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011CT-SEC$2,800,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2012CT-SEC$40,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2014CT-SEC$5,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2014CT-SEC$53,800
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015CT-SEC$35,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2018CT-SEC$7,590
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc.Voya Financialinvestor protection violation2019CT-SEC$1,015,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CT-SEC$51,136
MetLife Securities, Inc.MetLifeinvestor protection violation2012DC-DISB$25,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013DC-DISB$15,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2018DC-DISB$5,000
Janney Montgomery Scott, Inc.Penn Mutualinvestor protection violation2001DE-SEC$210,909
Wilmington Trust Co.M&T Bankinvestor protection violation2005DE-SEC$50,000
Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009DE-SEC$40,000
PNC Investments LLCPNC Financial Servicesinvestor protection violation2010DE-SEC$250,000
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2012DE-SEC$20,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsinvestor protection violation2015DE-SEC$685,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2015DE-SEC$105,000
LPL Financial LLCLPL Financialinvestor protection violation2015DE-SEC$200,000
Allstate Financial Services, LLCAllstateinvestor protection violation2002FL-OFR$21,300
Waddell & Reed, Inc.Macquarieinvestor protection violation2003FL-OFR$8,800
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2004FL-OFR$5,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FL-OFR$10,000
LendingClub Corp.LendingClub Corp.investor protection violation2012FL-OFR$100,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020GA-SEC$22,104
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2014IA-INS$10,000
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020IA-INS$10,147
World Group Securities, Inc.Aegoninvestor protection violation2004ID-SEC$15,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006ID-SEC$415,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2004IL-SEC$5,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005IL-SEC$7,500
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2005IL-SEC$10,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2006IL-SEC$250,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2007IL-SEC$40,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008IL-SEC$1,449,384
ING Financial Partners, Inc.Voya Financialinvestor protection violation2008IL-SEC$4,677,326
LPL Financial Corp.LPL Financialinvestor protection violation2010IL-SEC$300,000
MetLife Securities, Inc.MetLifeinvestor protection violation2010IL-SEC$135,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2011IL-SEC$8,567,364
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2011IL-SEC$80,224
LPL Financial, LLCLPL Financialinvestor protection violation2011IL-SEC$250,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2012IL-SEC$25,930,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2012IL-SEC$7,500
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$2,000,000
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$815,218
Pruco Securities, LLCPrudential Financialinvestor protection violation2017IL-SEC$900,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2017IL-SEC$270,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010IN-SEC$692,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2010IN-SEC$9,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010IN-SEC$8,495
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2011IN-SEC$10,000
UBS Financial ServicesUBSinvestor protection violation2011IN-SEC$677,000
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2011IN-SEC$7,500
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2012IN-SEC$210,000
LPL Financial, LLCLPL Financialinvestor protection violation2013IN-SEC$14,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2013IN-SEC$8,500
Prosper MarketplaceProsper Marketplaceinvestor protection violation2015IN-SEC$13,957
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015IN-SEC$475,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2016IN-SEC$905,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016IN-SEC$950,000
NYLIFE Securities, LLCNew York Life Insuranceinvestor protection violation2017IN-SEC$275,000
LPL Financial, LLCLPL Financialinvestor protection violation2018IN-SEC$450,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IN-SEC$15,575
Bank of LouisvilleTruist Financialinvestor protection violation2002KY-INS$27,000,000
Morgan Stanley D.W., Inc.Morgan Stanleyinvestor protection violation2004KY-FIN$100,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009KY-FIN$983,984
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020KY-FIN$325,000
State Street Global AdvisorsState Street Corp.investor protection violation2012MA-SEC$5,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.