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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
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Salomon Smith BarneyMorgan Stanleyinvestor protection violation2002FINRA$5,000,000
U.S. Bancorp Piper JaffrayPiper Sandlerinvestor protection violation2002FINRA$250,000
Interactive Brokers, L.L.C.Interactive Brokers Groupinvestor protection violation2002FINRA$230,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Knight Securities L.P.Virtu Financialinvestor protection violation2002FINRA$1,500,000
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2001FINRA$100,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2001FINRA$20,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Schwab Capital MarketsUBSinvestor protection violation2001FINRA$12,000
Spear, Leeds & KelloggGoldman Sachsinvestor protection violation2001FINRA$10,000
E-Trade SecuritiesMorgan Stanleyinvestor protection violation2001FINRA$90,000
Banc of America Securities LLCBank of Americainvestor protection violation2001FINRA$40,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2001FINRA$25,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2001FINRA$15,000
Chase Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Josephthal & Co., Inc.Oppenheimer Holdingsinvestor protection violation2001FINRA$2,300,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2001FINRA$225,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2001FINRA$10,000
First Union Brokerage Services, Inc.Wells Fargoinvestor protection violation2001FINRA$32,500
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2000FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2000FINRA$97,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
John Nuveen & Co., Inc.TIAAinvestor protection violation2000FINRA$6,630,000
First Union Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$350,000
J. P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2000FINRA$200,000
Kemper Distributors, Inc.Kemperinvestor protection violation2000FINRA$100,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2000FINRA$5,890,000
Raymond James & Associates Inc.Raymond James Financialinvestor protection violation2000FINRA$3,410,000
CS First Boston Corp.UBSinvestor protection violation2000FINRA$1,240,000
Piper Jaffray Inc.Piper Sandlerinvestor protection violation2000FINRA$933,000
Southwest Securities Inc.Hilltop Holdingsinvestor protection violation2000FINRA$500,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$100,000
Morgan Stanley & Co., Inc.Morgan Stanleyinvestor protection violation2000FINRA$495,000
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2020CT-SEC$250,000
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-SEC$7,500
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2021SD-SEC$20,000
Coinbase Inc.Coinbase Global Inc.investor protection violation2021CFTC$6,500,000
Credit SuisseUBSinvestor protection violation2021CFTC$1,500,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2021FINRA$69,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2021FINRA$11,650,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021MA-SEC$4,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2021SEC$863,326
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2021SEC$389,425
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021SEC$2,109,458
UBS Financial Services Inc.UBSinvestor protection violation2021SEC$8,112,174
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2021SEC$340,193
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2021AR-SEC$50,000
UBS AGUBSinvestor protection violation2021CFTC$500,000
Societe Generale S.A.Societe Generaleinvestor protection violation2021CFTC$1,500,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2021CFTC$84,320,000
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2021CFTC$1,500,000
Citibank, N.A.Citigroupinvestor protection violation2021CFTC$1,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2021SEC$1,207,000
WEX Inc.WEX Inc.investor protection violation2021SEC$350,000
LPL Financial LLCLPL Financialinvestor protection violation2021SEC$891,202
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2021VA-SEC$10,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2021CFTC$75,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2021SEC$125,000,000
LPL Financial LLCLPL Financialinvestor protection violation2021CT-SEC$500,000
Credit Suisse SecuritiesUBSinvestor protection violation2022FINRA$9,000,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022OK-SEC$15,000
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyinvestor protection violation2022SEC$4,628,194
Ameritas Investment Co.Ameritas Mutual Holding Companyinvestor protection violation2022NV-SEC$15,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2022VT-FIN$640,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2022FINRA$15,200,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2022SEC$187,000,000
BNY Mellon Investment Adviser, Inc.Bank of New York Melloninvestor protection violation2022SEC$1,500,000
First Republic Investment Management, Inc.JPMorgan Chaseinvestor protection violation2022SEC$1,825,953
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022USAO$5,763,000,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022CFTC$1,010,828
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$25,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2022CFTC$850,000
BNP ParibasBNP Paribasinvestor protection violation2022CFTC$6,000,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2022MA-SEC$262,092
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2022SEC$956,833
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2022SEC$152,955
Janus Henderson Investors US LLCJanus Hendersoninvestor protection violation2022SEC$150,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2022SEC$1,200,000
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$925,000
Equitable Financial Life Insurance CompanyEquitable Holdingsinvestor protection violation2022SEC$50,000,000
Waddell & Reed, LLCMacquarieinvestor protection violation2022SEC$200,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2022SEC$35,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SEC$500,000
Bank of AmericaBank of Americainvestor protection violation2022CFTC$100,000,000
Barclays Bank PLCBarclaysinvestor protection violation2022CFTC$75,000,000
Cantor FitzgeraldCantor Fitzgeraldinvestor protection violation2022CFTC$6,000,000
Citibank N.A.Citigroupinvestor protection violation2022CFTC$75,000,000
Credit SuisseUBSinvestor protection violation2022CFTC$75,000,000
Deutsche BankDeutsche Bankinvestor protection violation2022CFTC$75,000,000
Goldman SachsGoldman Sachsinvestor protection violation2022CFTC$75,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2022CFTC$75,000,000
Nomura SecuritiesNomurainvestor protection violation2022CFTC$50,000,000
UBS AGUBSinvestor protection violation2022CFTC$75,000,000
UBS Securities LLCUBSinvestor protection violation2022FINRA$2,500,000
BofA Securities, Inc.Bank of Americainvestor protection violation2022FINRA$5,000,000
Barclays Bank PLCBarclaysinvestor protection violation2022SEC$361,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.