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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 TypeYearAgency sort iconPenalty Amount
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2020FINRA$3,650,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2019FINRA$4,600,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$280,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$280,000
LPL Financial LLCLPL Financialinvestor protection violation2019FINRA$280,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019FINRA$280,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$280,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2019FINRA$6,500,000
Robinhood Financial, LLCRobinhood Marketsinvestor protection violation2019FINRA$1,250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$4,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2019FINRA$8,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasanti-money-laundering deficiencies2019FINRA$15,000,000
UBS Financial Services Inc.UBSinvestor protection violation2019FINRA$2,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$1,100,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$1,250,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019FINRA$772,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019FINRA$2,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyanti-money-laundering deficiencies2018FINRA$10,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americasecurities issuance or trading violation2018FINRA$5,990,530
UBS Financial Services Inc. and UBS Securities LLCUBSanti-money-laundering deficiencies2018FINRA$5,000,000
LPL Financial, LLCLPL Financialinvestor protection violation2018FINRA$2,750,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2018FINRA$5,500,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinaanti-money-laundering deficiencies2018FINRA$5,300,000
E-Trade Securities, LLCMorgan Stanleyinvestor protection violation2008FINRA$500,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2008FINRA$350,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2018FINRA$6,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2018FINRA$1,500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017FINRA$11,500,000
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2017FINRA$2,800,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2017FINRA$2,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2017FINRA$1,400,000
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2017FINRA$1,250,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2017FINRA$3,400,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2017FINRA$13,030,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2017FINRA$2,500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017FINRA$1,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2017FINRA$800,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2017FINRA$450,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargoinvestor protection violation2016FINRA$4,000,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadainvestor protection violation2016FINRA$3,500,000
RBS Securities, Inc.NatWest Group PLCinvestor protection violation2016FINRA$2,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargoinvestor protection violation2016FINRA$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2016FINRA$1,500,000
LPL Financial LLCLPL Financialinvestor protection violation2016FINRA$750,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2016FINRA$50,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2016FINRA$3,250,000
Credit Suisse Securities (USA) LLCUBSanti-money-laundering deficiencies2016FINRA$16,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2016FINRA$7,030,000
VALIC Financial Advisors, Inc.American International Groupinvestor protection violation2016FINRA$1,750,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016FINRA$3,425,000
VOYA Financial Advisors Inc.Voya Financialinvestor protection violation2016FINRA$4,550,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americainvestor protection violation2016FINRA$2,800,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016FINRA$850,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2016FINRA$12,500,000
Barclays Capital Inc.Barclaysinvestor protection violation2016FINRA$1,300,000
Prudential Annuities Distributors, Inc.Prudential Financialinvestor protection violation2016FINRA$950,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2016FINRA$6,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2016FINRA$5,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016FINRA$2,966,000
E-Trade Securities LLCMorgan Stanleyinvestor protection violation2016FINRA$900,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialanti-money-laundering deficiencies2016FINRA$17,000,000
MetLife Securities, Inc.MetLifeinvestor protection violation2016FINRA$25,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016FINRA$675,000
Barclays Capital, Inc.Barclaysinvestor protection violation2015FINRA$13,750,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015FINRA$2,950,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2015FINRA$7,300,000
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2015FINRA$1,030,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2015FINRA$1,400,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2015FINRA$2,600,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2015FINRA$13,500,000
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015FINRA$2,900,000
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2015FINRA$1,200,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2015FINRA$600,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2015FINRA$963,534
MetLife Securities, Inc.MetLifeinvestor protection violation2015FINRA$649,748
Comerica SecuritiesComericainvestor protection violation2015FINRA$347,757
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015FINRA$278,544
Santander Securities LLCBanco Santanderinvestor protection violation2015FINRA$6,421,000
UBS Financial Services Incorporated of Puerto RicoUBSinvestor protection violation2015FINRA$18,500,000
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2015FINRA$2,000,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsinvestor protection violation2015FINRA$1,800,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2015FINRA$15,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2015FINRA$8,700,000
LPL Financial LLCLPL Financialinvestor protection violation2015FINRA$6,300,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2015FINRA$650,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2015FINRA$300,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2015FINRA$2,000,000
LPL Financial LLCLPL Financialinvestor protection violation2015FINRA$11,700,000
RBC Capital MarketsRoyal Bank of Canadainvestor protection violation2015FINRA$1,434,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2015FINRA$3,750,000
Wells Fargo Advisors and Wells Fargo Advisors Financial NetworkWells Fargoanti-money-laundering deficiencies2014FINRA$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2014FINRA$2,440,000
Barclays Capital Inc.Barclaysinvestor protection violation2014FINRA$5,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014FINRA$5,000,000
Credit Suisse Securities (USA), LLCUBSinvestor protection violation2014FINRA$5,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2014FINRA$5,000,000
JP Morgan Securities LLCJPMorgan Chaseinvestor protection violation2014FINRA$5,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2014FINRA$4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2014FINRA$4,000,000
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2014FINRA$4,000,000
Wells Fargo Securities, LLCWells Fargoinvestor protection violation2014FINRA$4,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.