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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
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
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupinvestor protection violation2024CFTC$500,000
U.S. Bank, N.A.U.S. Bancorpinvestor protection violation2024CFTC$6,000,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsinvestor protection violation2024CFTC$1,000,000
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
Hartford Fire and Casualty GroupHartford Financial Servicesinsurance violation2016MULTI-AG$2,100,000
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2013MULTI-AG$10,700,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2015MULTI-AG$2,500,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2011MULTI-AG$3,000,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2013MULTI-AG$12,600,000
MetLifeMetLifeinsurance violation2012MULTI-AG$40,000,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2012MULTI-AG$7,200,000
New York Life Insurance CompanyNew York Life Insuranceinsurance violation2013MULTI-AG$15,000,000
Pacific LifePacific Lifeinsurance violation2015MULTI-AG$2,450,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012MULTI-AG$17,000,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2016MULTI-AG$277,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2017MULTI-AG$250,000
Sun Life Insurance CompanySun Life Financialinsurance violation2014MULTI-AG$3,200,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2007MA-AG$20,000
Transamerica Life Insurance Co.Aegoninsurance violation2013MA-AG$1,330,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2018MA-AG$19,647
Transamerica Insurance Co.Aegoninsurance violation2013MULTI-AG$11,200,000
Allstate Insurance Co.Allstateinsurance violation2016CA-MULTI$600,000
Metropolitan Life Insurance Company, Inc.MetLifeinsurance violation2014NY-MANDA$10,000,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020MA-AG$363,000
Principal Life Insurance Co.Principal Financialinsurance violation2002AK-INS$16,095
Aon Risk Services Inc. of WashingtonAoninsurance violation2002AK-INS$5,000
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2006AK-INS$6,530
Liberty Mutual GroupLiberty Mutual Insuranceinsurance violation2007AK-INS$32,500
Principal Life Insurance Co.Principal Financialinsurance violation2008AK-INS$25,000
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2009AK-INS$39,378
Brown & Brown of Washington, Inc.Brown & Browninsurance violation2012AK-INS$30,000
Marsh USA Inc.Marsh & McLennaninsurance violation2015AK-INS$25,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2016AK-INS$10,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2019AK-INS$20,000
Marsh USA Inc.Marsh & McLennaninsurance violation2019AK-INS$30,000
Encompass Indemnity Co. and Encompass Insurance Company of AmericaAllstateinsurance violation2019AR-INS$40,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2017AR-INS$50,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2013AR-INS$10,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2013AR-INS$5,000
Titan Insurance Co.Nationwideinsurance violation2006AZ-DIFI$40,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2009AZ-DIFI$38,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2010AZ-DIFI$10,000
Scottsdale Insurance Co.Nationwideinsurance violation2010AZ-DIFI$37,500
Titan Indemnity Co.Nationwideinsurance violation2010AZ-DIFI$20,000
Unigard Insurance Co.QBE Insuranceinsurance violation2010AZ-DIFI$16,000
QBE Insurance Corp.QBE Insuranceinsurance violation2010AZ-DIFI$40,000
Permanent General Assurance Corp.American Family Insuranceinsurance violation2011AZ-DIFI$70,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2011AZ-DIFI$15,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2011AZ-DIFI$10,000
Homesite Indemnity Co.American Family Insuranceinsurance violation2011AZ-DIFI$19,000
Austin Mututal Insurance Co.American Family Insuranceinsurance violation2011AZ-DIFI$30,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2011AZ-DIFI$36,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2012AZ-DIFI$5,000
Infinity Insurance Co.Kemperinsurance violation2012AZ-DIFI$38,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012AZ-DIFI$30,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.