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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $380,015,282,562
Number of Records: 7,409
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$87,232,669,824317
JPMorgan Chase$38,995,638,319266
UBS$31,045,549,125177
Wells Fargo$27,482,918,911259
Citigroup$26,914,836,792178
Deutsche Bank$19,968,467,56396
Goldman Sachs$17,469,794,852102
NatWest Group PLC$14,349,701,61842
Morgan Stanley$10,535,931,900197
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 Parent sort icon . Primary Offense TypeYearAgencyPenalty Amount
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2015FINRA$650,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2015FINRA$2,000,000
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2014FINRA$4,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2014FINRA$5,000,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2013FINRA$1,188,000
Morgan StanleyMorgan Stanleyinvestor protection violation2012FINRA$817,754
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2012FINRA$2,146,431
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2011FINRA$1,371,000
Morgan Stanley & Co., Inc.Morgan Stanleyinvestor protection violation2010FINRA$800,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2009FINRA$7,200,000
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyanti-money-laundering deficiencies2009FINRA$1,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2007FINRA$12,500,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2007FINRA$6,100,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006FINRA$100,000
Morgan StanleyMorgan Stanleyinvestor protection violation2006FINRA$2,900,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2006FINRA$200,000
Morgan Stanley DW, Inc.Morgan Stanleyinvestor protection violation2005FINRA$6,100,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2005FINRA$2,650,000
Morgan Stanley DW IncMorgan Stanleyinvestor protection violation2004FINRA$336,510
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$2,200,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$250,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$38,312
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2004FINRA$5,390,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003FINRA(*)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
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003FINRA$2,000,000
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
Salomon Smith BarneyMorgan Stanleyinvestor protection violation2002FINRA$5,000,000
E-Trade SecuritiesMorgan Stanleyinvestor protection violation2001FINRA$90,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2000FINRA$200,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
Morgan Stanley & Co., Inc.Morgan Stanleyinvestor protection violation2000FINRA$495,000
E-Trade Financial Corporate Services, Inc.Morgan Stanleyconsumer protection violation2021CT-BKG$10,000
Morgan Stanley Capital GroupMorgan Stanleyutility service violation2014TX-PUC$18,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2022SEC$35,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2022CFTC$75,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2022SEC$125,000,000
Morgan StanleyMorgan Stanleyprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2018private lawsuit-federal$33,500,000
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2011private lawsuit-federal$6,500,000
Morgan Stanley & Co.Morgan Stanleyconsumer protection violation2014private lawsuit-federal$95,000,000
MORGAN STANLEYMorgan Stanleyenvironmental violation2014EPA$10,000
Morgan Stanley Capital Group Inc.Morgan Stanleyenvironmental violation2009EPA$405,000
Morgan Stanley Capital Group, Inc.Morgan Stanleyenvironmental violation2017EPA$1,119,000
Morgan Stanley Capital Group, Inc.Morgan Stanleyenvironmental violation2002EPA$7,500
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2017CFPB$1,750,000
Seterus, Inc.Mr. Cooper Grouplabor relations violation2013NLRB$72,162
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2018MD-AG$760,000
Nationstar Mortgage LLC dba Mr. CooperMr. Cooper Groupmortgage abuses2018MA-AG$500,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2008AZ-DIFI$12,500
Nationstar Mortgage, LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2017CA-DFPI$9,118,784
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2008KY-FIN$105,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2010KY-FIN$19,500
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2016KY-FIN$6,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2011MA-BKG$25,000
Seterus, Inc.Mr. Cooper Groupconsumer protection violation2014NH-BKG$10,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2018NY-DFS$17,000,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2017RI-FIN$9,200
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2016WA-FIN$59,678
Seterus Inc.Mr. Cooper Groupmortgage abuses2019MULTI-FIN$350,000
Nationstar Mortgage, LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2020CFPB$74,500,000
Nationstar Mortgage, LLCMr. Cooper Groupmortgage abuses2020DOJ_UTP$40,000,000
Nationstar Mortgage dba Mr. CooperMr. Cooper Groupconsumer protection violation2020MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $86,300,000
Natlonstar Mortgage LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2022MN-FIN$10,157
Nationstar Mortgage, LLCMr. Cooper Groupconsumer protection violation2015private lawsuit-federal$76,000,000
Seterus Inc.Mr. Cooper Groupconsumer protection violation2021private lawsuit-federal$7,000,000
Mitsui Sumitomo Insurance Company of AmericaMS&AD Insuranceinsurance violation2014TX-INS$5,977
Mitsui Sumitomo Insurance Company of AmericaMS&AD Insuranceinsurance violation2022TX-INS$23,000
Mitsui Sumitomo Insurance Company of AmericaMS&AD Insuranceinsurance violation2022TX-INS$19,500
American Alternative Insurance Corp.Munich Reinsurance violation2019CT-INS$49,500
American Alternative Insurance Corp.Munich Reinsurance violation2003FL-OFR$21,500
American Modern Home Insurance Co.Munich Reinsurance violation2010MD-INS$5,000
American Modern Insurance Group, Inc. et al.Munich Reinsurance violation2016MN-FIN$1,000,000
American Modern Home Insurance Co.Munich Reinsurance violation2015MO-INS$10,000
American Alternative Insurance Corp.Munich Reinsurance violation2019MO-INS$85,000
American Modern Home Insurance CompanyMunich Reinsurance violation2012NC-INS$1,860,000
American Family Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$25,000
American Modern Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$150,000
American Family Home Insurance Co.Munich Reinsurance violation2011SC-INS$9,800
American Alternative Insurance CorporationMunich Reinsurance violation2017TX-INS$160,000
American Alternative Insurance Corporation et al.Munich Reinsurance violation2013WA-INS$10,000
American Modern Home Insurance CompanyMunich Reinsurance violation2016WA-INS$5,000
American Modern Home Insurance CompanyMunich Reinsurance violation2017WA-INS$5,000
American Modern Home Insurance CompanyMunich Reinsurance violation2017MULTI-FIN$255,000
American Modern Insurance Group Inc.Munich Reinsurance violation2015MULTI-FIN$6,000,000
Mutual of OmahaMutual of Omahaconsumer protection violation2002NY-AG$10,000
Mutual of Omaha Insurance Co.Mutual of Omahakickbacks and bribery2008CT-AG$1,700,000
Mutual of Omaha Insurance Co.Mutual of Omahaconsumer protection violation2019MA-AG$25,000
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2019CT-INS$60,500
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2018DE-INS$17,000
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2007FL-OFR$13,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2011MD-INS$5,500
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2018MD-INS$6,600
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2000ME-INS$6,000
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2005OR-FIN$25,000
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2011OR-FIN$5,000
MUTUAL OF OMAHA INSURANCE CO.Mutual of Omahainsurance violation2002VA-INS$25,800
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.