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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
Bank of AmericaBank of Americainvestor protection violation2013MULTI-AG$500,000,000
Bank of America Merrill LynchBank of Americainvestor protection violation2018NY-AG$42,000,000
Bank of New York MellonBank of New York Melloninvestor protection violation2013FL-AG$28,000,000
Bank of New York Mellon Corp.Bank of New York Melloninvestor protection violation2011MULTI-AG$1,300,000
Barclays Capital Inc.Barclaysinvestor protection violation2016NY-AG$35,000,000
Bear StearnsJPMorgan Chaseinvestor protection violation2012MI-AG$275,000,000
Bear Stearns & Co. LLCJPMorgan Chaseinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
BMO Capital Markets CorporationBank of Montrealinvestor protection violation2019SEC$3,946,000
BNY Mellon Shareowner ServicesBank of New York Melloninvestor protection violation2010MA-AG$30,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019SEC$647,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009DE-AG$309,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009NJ-AG$3,300,932
Citigroup Global Markets, Inc. and Citi Smith BarneyCitigroupinvestor protection violation2008MULTI-AG$7,100,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2017NY-AG$23,500,000
Conseco, Inc.CNO Financialinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000
Credit Suisse First Boston Corp.UBSinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $200,000,000
Credit Suisse SecuritiesUBSinvestor protection violation2016NY-AG$30,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011NJ-AG$1,057,996
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2018NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $10,000,000
Deutsche BankDeutsche Bankinvestor protection violation2002MULTI-AG$80,000,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $208,000,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2009NJ-AG$1,057,350
Deutsche Bank Securities, Inc. and Deutsche Bank AGDeutsche Bankinvestor protection violation2008MULTI-AG$3,348,333,333
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2016NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,000,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000NY-AG$2,000,000
Edward Jones & Co.Jones Financialinvestor protection violation2008CA-AG$7,500,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
FleetBoston Financial Corp.Bank of Americainvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
Franklin/Templeton Distributors, Inc.Franklin Resourcesinvestor protection violation2004CA-AG$18,000,000
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $45,000,000
Goldman SachsGoldman Sachsinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $110,000,000
Goldman Sachs Group, Inc.Goldman Sachsinvestor protection violation2008MULTI-AG$3,355,833,333
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2011NJ-AG$959,794
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2019SEC$42,700,000
INGVoya Financialinvestor protection violation2006MULTI-AG$33,000,000
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2019NJ-AG$100,000
Invesco Funds GroupInvescoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $325,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014DE-AG$51,400
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2010FL-AG$25,000,000
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014NJ-AG$50,460
Jackson National Life Insurance CoJackson Financialinvestor protection violation2008CT-AG$484,000
Janus Capital ManagementJanus Hendersoninvestor protection violation2004MULTI-AG$225,000,000
John Hancock Life Insurance Co.Manulife Financialinvestor protection violation2014MA-AG$550,000
JP Morgan Chase & Co.JPMorgan Chaseinvestor protection violation2008MULTI-AG$3,525,000,000
JPMorgan ChaseJPMorgan Chaseinvestor protection violation2015MULTI-AG$150,000,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2010NJ-AG$1,149,028
LPL Financial LLCLPL Financialinvestor protection violation2019MULTI-AG$25,848,000
LPL Financial, LLCLPL Financialinvestor protection violation2017NJ-AG$975,000
Marsh and McLennanMarsh & McLennaninvestor protection violation2009MULTI-AG$400,000,000
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004NY-AG$350,000,000
MBIA, Inc.MBIAinvestor protection violation2007NY-AG$25,000,000
Merrill LynchBank of Americainvestor protection violation2009DE-AG$459,000
Merrill LynchBank of Americainvestor protection violation2002DE-AG$500,000
Merrill LynchBank of Americainvestor protection violation2010NJ-AG$4,871,620
Merrill LynchBank of Americainvestor protection violation2002NY-AG$100,000,000
Merrill LynchBank of Americainvestor protection violation2009OH-AG$475,000,000
Merrill Lynch & Co.Bank of Americainvestor protection violation2008MULTI-AG$3,458,333,333
Merrill Lynch & Co.Bank of Americainvestor protection violation2013NJ-AG$45,000,000
Merrill Lynch & Co. Inc.Bank of Americainvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Merrill Lynch Commodities, Inc.Bank of Americainvestor protection violation2019CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005NJ-AG$10,000,000
Merrill, Lynch, Pierce, Fenner and Smith, Inc.Bank of Americainvestor protection violation2010NJ-AG$728,260
Morgan StanleyMorgan Stanleyinvestor protection violation2008MULTI-AG$3,535,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2019CA-AG$150,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2011NJ-AG$1,560,000
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2013NJ-AG$100,000
Morgan Stanley DWMorgan Stanleyinvestor protection violation2005DE-AG$700,000
Nomura Securities International Inc.Nomurainvestor protection violation2019SEC$26,400,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2010MULTI-AG$31,000,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsinvestor protection violation2013MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,800,000
OppenheimerFundsInvescoinvestor protection violation2010NM-AG$67,300,000
OppenheimerFunds Inc.Invescoinvestor protection violation2009OR-AG$20,000,000
OppenheimerFunds, Inc.Invescoinvestor protection violation2009IL-AG$77,230,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011NJ-AG$35,000
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2010NJ-AG$51,724
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2008MULTI-AG$859,800,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013NJ-AG$450,000
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2009DE-AG$22,156
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $400,000,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-AG$5,000,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-AG$978,000
St. Paul Travelers Companies Inc.Travelersinvestor protection violation2005NM-AG$67,500,000
State Street BankState Street Corp.investor protection violation2010WA-AG$11,700,000
State Street Bank & Trust Co.State Street Corp.investor protection violation2010MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
State Street Bank and Trust Co.State Street Corp.investor protection violation2016MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2019SEC$88,780,000
Strong Capital Management Co.Wells Fargoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $115,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009MULTI-AG$456,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2015MA-AG$160,000
The Hartford Financial Services GroupHartford Financial Servicesinvestor protection violation2006MULTI-AG$20,000,000
UBSUBSinvestor protection violation2010MI-AG$117,000,000
UBS Financial Services Inc.UBSinvestor protection violation2006NJ-AG$24,750,000
UBS Financial Services, IncUBSinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services, Inc.UBSinvestor protection violation2013DE-AG$70,077
UBS Financial Services, Inc.UBSinvestor protection violation2007NY-AG$23,300,000
UBS Securities LLC and UBS Financial Services, IncUBSinvestor protection violation2011NJ-AG$3,790,487
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.