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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
UBS Securities LLC and UBS Financial Services, IncUBSinvestor protection violation2011NJ-AG$3,790,487
UBS Securities LLC and UBS Financial Services, Inc.UBSinvestor protection violation2008MULTI-AG$11,150,000,000
UBS Warburg LLCUBSinvestor 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
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2006MULTI-AG$25,000,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007MD-AG$402,386
Wachovia SecuritiesWells Fargoinvestor protection violation2008MULTI-AG$60,000,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2009DE-AG$309,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2011NJ-AG$3,200,000
Waddell & Reed, Inc.Macquarieinvestor 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. $75,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$8,100,000
Wells FargoWells Fargoinvestor protection violation2009CA-AG$1,400,000,000
Wells Fargo & CompanyWells Fargoinvestor protection violation2018NY-AG$65,000,000
BGC Financial, L.P.BGC Partnersinvestor protection violation2019CFTC$3,000,000
Wells Fargo Bank, N.A.Wells Fargoinvestor protection violation2019CFTC$14,475,000
BGC Financial, LPBGC Partnersinvestor protection violation2019CFTC$15,000,000
GFI Securities, LLCBGC Partnersinvestor protection violation2019CFTC$10,000,000
Morgan Stanley Capital Group Inc.Morgan Stanleyinvestor protection violation2019CFTC$1,500,000
PNC Bank, National AssociationPNC Financial Servicesinvestor protection violation2019CFTC$300,000
Bank of New York MellonBank of New York Melloninvestor protection violation2019CFTC$750,000
NatWest Markets PlcNatWest Group PLCinvestor protection violation2019CFTC$850,000
Northern Trust CompanyNorthern Trustinvestor protection violation2019CFTC$1,000,000
Societe Generale International LimitedSociete Generaleinvestor protection violation2019CFTC$2,500,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2019CFTC$650,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2019CFTC$5,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019CFTC$300,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019SEC$1,545,758
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsinvestor protection violation2019SEC$810,785
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$1,852,540
Virtu Americas LLCVirtu Financialinvestor protection violation2019SEC$1,500,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealinvestor protection violation2019SEC$37,980,000
GFI Securities LLCBGC Partnersinvestor protection violation2019SEC$4,300,000
Raymond James & Associates, Inc. et al.Raymond James Financialinvestor protection violation2019SEC$15,000,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2019SEC$225,000
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2019SEC$2,700,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2019SEC$1,950,000
Prudential Financial Inc.Prudential Financialinvestor protection violation2019SEC$32,600,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006NY-AG$1,040,964
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2019CFTC$1,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargoinvestor protection violation2020SEC$35,000,000
Wells Fargo & Co.Wells Fargoinvestor protection violation2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2020SEC$586,000
MetLife, Inc.MetLifeinvestor protection violation2019SEC$10,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$1,822,438
U.S. Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2020SEC$15,992,441
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2020SEC$5,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2020SEC$3,889,007
Merrill Lynch, Pierce and Fenner & Smith, IncorporatedBank of Americainvestor protection violation2020SEC$325,376
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2020SEC$3,200,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2020SEC$725,000
Edward D. Jones and Co.,LPJones Financialinvestor protection violation2003AK-DBS$11,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2010AK-DBS$129,131
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010AK-DBS$150,507
UBS Securities LLCUBSinvestor protection violation2010AK-DBS$733,465
UBS Financial Services, Inc.UBSinvestor protection violation2013AK-DBS$64,661
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013AK-DBS$44,370
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014AK-DBS$51,120
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2015AK-DBS$35,000
LPL Financial LLCLPL Financialinvestor protection violation2019AK-DBS$499,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2020AK-DBS$10,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AK-DBS$10,527
Prudential Equity Group, Inc.Prudential Financialinvestor protection violation2005AL-SEC$45,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2005AL-SEC$100,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2010AL-SEC$15,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2012AL-SEC$60,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2017AL-SEC$20,000
LPL Financial LLCLPL Financialinvestor protection violation2018AL-SEC$80,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AL-SEC$18,874
Allied Home Mortgage Capital Corp.Americus Mortgageinvestor protection violation2009AR-SEC$10,000
Merrill Lynch & Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2010AR-SEC$15,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2012AR-SEC$59,659
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2013AR-SEC$6,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2018AR-SEC$50,000
LPL Financial LLCLPL Financialinvestor protection violation2019AR-SEC$40,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2019AR-SEC$5,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2000AZ-CC$125,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005AZ-CC$1,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2006AZ-CC$1,250,000
World Group Securities, Inc.Aegoninvestor protection violation2010AZ-CC$853,501
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013CA-DFPI$33,520
LendingClub Corp.LendingClub Corp.investor protection violation2015CA-DFPI$46,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018CA-DFPI$115,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CA-DFPI$52,047
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005CO-SEC$259,227
OppenheimerFunds Distributor, Inc.Invescoinvestor protection violation2007CO-SEC$494,500
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2013CO-SEC$20,232
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2006CT-SEC$52,480
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2006CT-SEC$3,500,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007CT-SEC$258,728
UBS Financial Services Inc.UBSinvestor protection violation2007CT-SEC$5,500,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2009CT-SEC$12,602
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2010CT-SEC$15,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2010CT-SEC$5,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010CT-SEC$75,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011CT-SEC$2,800,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2012CT-SEC$40,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2014CT-SEC$5,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2014CT-SEC$53,800
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015CT-SEC$35,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2018CT-SEC$7,590
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc.Voya Financialinvestor protection violation2019CT-SEC$1,015,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CT-SEC$51,136
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.