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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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 TypeYearAgency sort icon . Penalty Amount
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2006FINRA$250,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2005FINRA$14,000,000
Wells Fargo InvestmentsWells Fargoinvestor protection violation2005FINRA$3,000,000
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$290,262
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$12,300,000
State Street Global Markets LLCState Street Corp.investor protection violation2005FINRA$1,400,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2005FINRA$4,478,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2005FINRA$2,108,000
RBC Dain Rauscher, Inc.Royal Bank of Canadainvestor protection violation2005FINRA$1,158,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$1,250,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005FINRA$2,200,000
Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2005FINRA$950,000
Investment Centers of America, Inc.LPL Financialinvestor protection violation2005FINRA$363,500
ING Funds DistributorVoya Financialinvestor protection violation2005FINRA$1,500,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2005FINRA$300,000
Morgan Stanley DW, Inc.Morgan Stanleyinvestor protection violation2005FINRA$6,100,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005FINRA$280,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2005FINRA$220,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2005FINRA$160,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2005FINRA$140,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2005FINRA$90,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2005FINRA$90,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2005FINRA$60,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2005FINRA$60,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2005FINRA$40,000
UBS International Inc.UBSinvestor protection violation2005FINRA$10,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2005FINRA$2,650,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2005FINRA$150,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2005FINRA$125,000
AllianceBernstein Investment Research and Management, Inc.Equitable Holdingsinvestor protection violation2005FINRA$3,984,087
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2005FINRA$2,970,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2005FINRA$2,500,000
RBC Dain Rauscher, Inc.Royal Bank of Canadainvestor protection violation2005FINRA$1,700,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2005FINRA$900,000
SunTrust Capital Markets, Inc.Truist Financialinvestor protection violation2005FINRA$100,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2005FINRA$888,000
Thomas Weisel PartnersStifel Financialinvestor protection violation2005FINRA$1,750,000
Jefferson Pilot Variable CorporationLincoln Nationalinvestor protection violation2005FINRA$688,697
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2005FINRA$6,250,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2005FINRA$13,000,000
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$2,000,000
Spear, Leeds & Kellogg, L.PGoldman Sachsinvestor protection violation2005FINRA$1,000,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005FINRA$275,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2005FINRA$250,000
Banc One Securities CorporationJPMorgan Chaseinvestor protection violation2005FINRA$400,000
H&R Block Financial Advisors, Inc.H&R Blockinvestor protection violation2004FINRA$825,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2004FINRA$12,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$275,000
Morgan Stanley DW IncMorgan Stanleyinvestor protection violation2004FINRA$336,510
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FINRA$1,600,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004FINRA$700,000
Wachovia Securities LLCWells Fargoinvestor protection violation2004FINRA$650,000
Prudential Equity Group LLCPrudential Financialinvestor protection violation2004FINRA$550,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2004FINRA$400,000
Metropolitan Life Insurance Co.MetLifeinvestor protection violation2004FINRA$375,000
NYLife Securities, Inc.New York Life Insuranceinvestor protection violation2004FINRA$350,000
Edward Jones & Co., LPJones Financialinvestor protection violation2004FINRA$300,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2004FINRA$250,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2004FINRA$250,000
MML Investor Services, Inc.Massachusetts Mutual Life Insuranceinvestor protection violation2004FINRA$250,000
Banc of America Investment Services Inc.Bank of Americainvestor protection violation2004FINRA$200,000
ING Financial Partners, Inc.Voya Financialinvestor protection violation2004FINRA$200,000
New England SecuritiesMetLifeinvestor protection violation2004FINRA$200,000
Allstate Financial Services LLCAllstateinvestor protection violation2004FINRA$150,000
RBC Dain Rauscher, Inc.Royal Bank of Canadainvestor protection violation2004FINRA$150,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2004FINRA$150,000
World Group Securities, Inc.Aegoninvestor protection violation2004FINRA$150,000
Jefferson Pilot Securities CorporationLincoln Nationalinvestor protection violation2004FINRA$125,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2004FINRA$100,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$250,000
Credit Suisse First Boston, L.L.C.Credit Suisseinvestor protection violation2004FINRA$50,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$15,000
Schwab Capital Markets, L.P.UBSinvestor protection violation2004FINRA$70,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2004FINRA$16,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsinvestor protection violation2004FINRA$75,000
UBS Securities, L.L.C.UBSinvestor protection violation2004FINRA$10,000
SG Cowen, LLCCowen Inc.investor protection violation2004FINRA$800,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$2,200,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2004FINRA$5,000,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$5,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2004FINRA$5,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2004FINRA$250,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$250,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004FINRA$2,400,000
Charles Schwab & Co, Inc.Charles Schwab Corp.investor protection violation2004FINRA$60,869
Edward JonesJones Financialinvestor protection violation2004FINRA$25,181
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2004FINRA$109,527
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$38,312
Prudential Equity Group, LLCPrudential Financialinvestor protection violation2004FINRA$17,306
UBS Financial Services Inc.UBSinvestor protection violation2004FINRA$200,666
Wachovia Securities, LLC.Wells Fargoinvestor protection violation2004FINRA$39,486
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004FINRA$150,000
Stifel Nicolaus & CompanyStifel Financialinvestor protection violation2004FINRA$125,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2004FINRA$300,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2004FINRA$4,950,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$5,290,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2004FINRA$5,390,000
Ameritrade, Inc.Charles Schwab Corp.investor protection violation2004FINRA$10,000,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2004FINRA$250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.