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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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
Bankers Life and Casualty Co.CNO Financialinvestor protection violation2010MO-SEC$789,600
LPL Financial Corp.LPL Financialinvestor protection violation2010MO-SEC$37,540
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010MO-SEC$277,500
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2010MO-SEC$92,015
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2011MO-SEC$765,993
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2011MO-SEC$5,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2012MO-SEC$1,101,385
LendingClub Corp.LendingClub Corp.investor protection violation2012MO-SEC$105,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2013MO-SEC$80,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013MO-SEC$2,121,579
LPL Financial LLCLPL Financialinvestor protection violation2013MO-SEC$185,000
Bankers Life and Casualty Co.CNO Financialinvestor protection violation2015MO-SEC$102,178
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2015MO-SEC$128,528
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2016MO-SEC$850,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2017MO-SEC$25,672
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MO-SEC$9,130
AmSouth Investment Services, Inc.Regions Financialinvestor protection violation2004MS-SEC$225,000
MetLife Securities, Inc.MetLifeinvestor protection violation2006MS-SEC$50,000
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2007MS-SEC$12,500
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008MS-SEC$150,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2016MS-SEC$4,743,815
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2017MS-SEC$50,000
LPL Financial LLCLPL Financialinvestor protection violation2018MS-SEC$40,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003MT-FIN$2,625,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MT-FIN$25,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006MT-FIN$345,000
UBS Financial Services, Inc.UBSinvestor protection violation2006MT-FIN$4,503,166
LPL Financial Corp.LPL Financialinvestor protection violation2009MT-FIN$1,294,416
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2010MT-FIN$5,000
Edward JonesJones Financialinvestor protection violation2010MT-FIN$100,000
LPL Financial LLCLPL Financialinvestor protection violation2012MT-FIN$30,500
Metlife Investors USA Insurance CoMetLifeinvestor protection violation2012MT-FIN$5,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2012MT-FIN$186,439
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2010NC-SEC$7,800,000
US Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2001ND-SEC$23,250
Edward D. Jones & Co. LPJones Financialinvestor protection violation2003ND-SEC$7,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2003ND-SEC$12,303
Principal Life Insurance CompanyPrincipal Financialinvestor protection violation2004ND-SEC$30,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004ND-SEC$17,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005ND-SEC$30,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006ND-SEC$17,204
Investment Centers of America Inc.LPL Financialinvestor protection violation2006ND-SEC$6,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2006ND-SEC$8,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006ND-SEC$229,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007ND-SEC$75,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002NE-DBF$5,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2003NE-DBF$20,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2006NE-DBF$12,500
Eaton Vance Income Fund of BostonMorgan Stanleyinvestor protection violation2006NE-DBF$17,000
Berthel, Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2007NE-DBF$5,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2008NE-DBF$11,000
Cadaret, Grant & Co., Inc.Atria Wealth Solutionsinvestor protection violation2008NE-DBF$10,000
Stifel, Nicolaus & Company Inc.Stifel Financialinvestor protection violation2014NE-DBF$61,000
Merrill LynchBank of Americainvestor protection violation2002NH-BSR$500,000
Morgan StanleyMorgan Stanleyinvestor protection violation2004NH-BSR$500,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2005NH-BSR$435,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NH-BSR$7,375,000
ING Life Insurance and Annuity CompanyVoya Financialinvestor protection violation2006NH-BSR$3,000,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2007NH-BSR$375,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008NH-BSR$3,400,000
UBS Financial Services Inc.UBSinvestor protection violation2011NH-BSR$1,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2012NH-BSR$155,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2012NH-BSR$35,000
UBS Financial Services Inc.UBSinvestor protection violation2012NH-BSR$72,500
Edward Jones & Co. LPJones Financialinvestor protection violation2014NH-BSR$750,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2014NH-BSR$140,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2014NH-BSR$90,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015NH-BSR$35,000
LPL Financial, LLCLPL Financialinvestor protection violation2015NH-BSR$750,000
Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2016NH-BSR$35,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016NH-BSR$30,800
Waddell & Reed, Inc.Macquarieinvestor protection violation2016NH-BSR$900,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2017NH-BSR$7,500
State Street Bank and Trust CompanyState Street Corp.investor protection violation2018NH-BSR$325,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2018NH-BSR$983,284
Santander Securities, LLCBanco Santanderinvestor protection violation2018NH-BSR$31,562
Berthel Fisher & Company Financial Services, IncBerthel Fisherinvestor protection violation2019NH-BSR$415,407
Santander Securities, LLCBanco Santanderinvestor protection violation2019NH-BSR$50,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2019NH-BSR$325,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NH-BSR$90,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-BOS$5,000,000
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2010NJ-BOS$5,415,381
Pruco Securities, LLCPrudential Financialinvestor protection violation2013NJ-BOS$100,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2015NM-SEC$215,000
Goldman SachsGoldman Sachsinvestor protection violation2015NY-DFS$50,000,000
Waddell & Reed Inc.Macquarieinvestor protection violation2008OK-SEC$10,000
CUNA Brokerage Services Inc.CUNA Mutualinvestor protection violation2014OK-SEC$15,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020OK-SEC$9,968
Ragen Mackenzie Investment Services LLCWells Fargoinvestor protection violation2004OR-FIN$8,500
MetLife SecuritiesMetLifeinvestor protection violation2005OR-FIN$12,000
Prosper Marketplace Inc.Prosper Marketplaceinvestor protection violation2009OR-FIN$15,000
AXA Advisors LLCEquitable Holdingsinvestor protection violation2011OR-FIN$80,000
LPL Financial LLCLPL Financialinvestor protection violation2011OR-FIN$100,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020OR-FIN$10,599
State Farm VP Management Corp.State Farm Insuranceinvestor protection violation2013PA-BKG$75,000
MML Investors Services LLCMassachusetts Mutual Life Insuranceinvestor protection violation2015PA-BKG$100,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2016PA-BKG$10,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2016PA-BKG$135,000
Vanguard Advisers Inc.Vanguard Groupinvestor protection violation2017PA-BKG$23,480
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.