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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
Barclays Bank PLCBarclaysinvestor protection violation2022SEC$361,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2022SEC$125,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2022SEC$125,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2022SEC$125,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2022SEC$125,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2022SEC$125,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2022SEC$125,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2022SEC$125,000,000
Nomura Securities International, Inc.Nomurainvestor protection violation2022SEC$50,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2022SEC$10,000,000
Credit Suisse Securities (USA) LLC et al.UBSinvestor protection violation2022NJ-AG$495,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SC-SEC$50,000
LPL Financial LLCLPL Financialinvestor protection violation2022TX-SEC$125,000
Goldman Sachs Asset Management, L.P.Goldman Sachsinvestor protection violation2022SEC$4,000,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2022SEC$198,323
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2022DE-SEC$72,255
LPL Financial LLCLPL Financialinvestor protection violation2022NH-BSR$10,307
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2022WA-SEC$175,000
KeyBanc Capital Markets Inc.KeyCorpinvestor protection violation2023SEC$397,135
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2023SEC$9,660,000
Chatham Asset Management LLCChatham Asset Managementinvestor protection violation2023SEC$18,800,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2023MULTI-FIN$10,200,000
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2023CFTC$6,847,182
Goldman SachsGoldman Sachsinvestor protection violation2023CFTC$15,000,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2023CFTC$45,000,000
HSBC Bank PLCHSBCinvestor protection violation2023CFTC$30,000,000
Bank of Nova ScotiaScotiabankinvestor protection violation2023CFTC$15,000,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2023SEC$15,000,000
Scotia Capital (USA) Inc.Scotiabankinvestor protection violation2023SEC$7,500,000
Deutsche BankDeutsche Bankinvestor protection violation2012private lawsuit-federal$32,500,000
STIFEL, NICOLAUS & COMPANY, INC.Stifel Financialinvestor protection violation2023MA-SEC$2,500,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2023VA-SEC$11,000
Coinbase, Inc.Coinbase Global Inc.investor protection violation2023NJ-AG$5,000,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2023SEC$709,971
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2023SEC$1,400,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2023SEC$4,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2023CFTC$6,000,000
BNP ParibasBNP Paribasinvestor protection violation2023CFTC$75,000,000
Societe GeneraleSociete Generaleinvestor protection violation2023CFTC$75,000,000
Wells FargoWells Fargoinvestor protection violation2023CFTC$75,000,000
Bank of MontrealBank of Montrealinvestor protection violation2023CFTC$35,000,000
Wells Fargo Securities, LLC et al.Wells Fargoinvestor protection violation2023SEC$125,000,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2023SEC$35,000,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2023SEC$35,000,000
BMO Capital Markets CorpBank of Montrealinvestor protection violation2023SEC$25,000,000
Mizuho Securities USA LLCMizuho Financialinvestor protection violation2023SEC$25,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2023SEC$10,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2023CFTC$5,500,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2023MO-SEC$150,000
Raymond James & Associates, Inc. et al.Raymond James Financialinvestor protection violation2023MULTI-FIN$12,450,000
LPL Financial, LLCLPL Financialinvestor protection violation2023PA-BKG$190,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2023SEC$2,900,000
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023SEC$35,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2023CFTC$30,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2023CFTC$15,000,000
Bank of America, N.A.Bank of Americainvestor protection violation2023CFTC$8,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2023CFTC$3,000,000
Interactive Brokers Corp. and Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2023CFTC$20,000,000
StoneX Markets LLCStoneX Groupinvestor protection violation2023CFTC$650,000
Wilmington Trust Investment Management, LLCM&T Bankinvestor protection violation2023SEC$1,327,147
Interactive Brokers Corp.Interactive Brokers Groupinvestor protection violation2023SEC$35,000,000
Nuveen Securities LLCTIAAinvestor protection violation2023SEC$8,500,000
Fifth Third Securities Inc.Fifth Third Bancorpinvestor protection violation2023SEC$8,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2023SEC$1,975,000
DWS Investment Management Americas Inc.Deutsche Bankinvestor protection violation2023SEC$25,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2023SEC$6,000,000
Binance Holdings Limited et al.Binance Holdingsinvestor protection violation2023CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000
BlackRock Advisors, LLCBlackRockinvestor protection violation2023SEC$2,500,000
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2023MA-SEC$750,000
LPL Financial, LLCLPL Financialinvestor protection violation2023MA-SEC$250,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2023NH-BSR$200,000
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023ME-SEC$5,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2023ME-SEC$5,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2023MI-SEC$10,000
BofA Securities, Inc.Bank of Americainvestor protection violation2023FINRA$24,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024USAO$153,431,223
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2024SEC$18,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024SEC$83,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2023SEC$10,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2024FINRA$1,600,000
TIAA-CREF Individual & Institutional Services LLCTIAAinvestor protection violation2024SEC$2,200,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024SEC$16,500,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2024SEC$12,000,000
Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2024SEC$8,500,000
U.S. Bancorp Investments Inc.U.S. Bancorpinvestor protection violation2024SEC$8,000,000
Aon Investments USA Inc.Aoninvestor protection violation2024SEC$1,542,187
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2024MA-SEC$7,500,000
Edward D. Jones & Co., LPJones Financialinvestor protection violation2024PA-BKG$300,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024ME-SEC$5,000
Aflac Inc.Aflacinsurance violation2017MULTI-AG$350,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2015MULTI-AG$4,700,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2012MULTI-AG$10,000,000
Ameriprise GroupAmeriprise Financialinsurance violation2017MULTI-AG$1,500,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2012NY-AG$850,000
Axa S.A.AXAinsurance violation2015MULTI-AG$3,280,000
Genworth Life Insurance Co.Genworth Financialinsurance violation2014MULTI-AG$1,900,000
Great American Insurance Co.American Financial Groupinsurance violation2009MA-AG$176,000
Great American LifeMassachusetts Mutual Life Insuranceinsurance violation2016MULTI-AG$400,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2009MN-AG$50,000,000
Guardian LifeGuardian Life Insuranceinsurance violation2015MULTI-AG$2,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.