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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
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CT-SEC$51,136
MetLife Securities, Inc.MetLifeinvestor protection violation2012DC-DISB$25,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013DC-DISB$15,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2018DC-DISB$5,000
Janney Montgomery Scott, Inc.Penn Mutualinvestor protection violation2001DE-SEC$210,909
Wilmington Trust Co.M&T Bankinvestor protection violation2005DE-SEC$50,000
Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009DE-SEC$40,000
PNC Investments LLCPNC Financial Servicesinvestor protection violation2010DE-SEC$250,000
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2012DE-SEC$20,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsinvestor protection violation2015DE-SEC$685,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2015DE-SEC$105,000
LPL Financial LLCLPL Financialinvestor protection violation2015DE-SEC$200,000
Allstate Financial Services, LLCAllstateinvestor protection violation2002FL-OFR$21,300
Waddell & Reed, Inc.Macquarieinvestor protection violation2003FL-OFR$8,800
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2004FL-OFR$5,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FL-OFR$10,000
LendingClub Corp.LendingClub Corp.investor protection violation2012FL-OFR$100,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020GA-SEC$22,104
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2014IA-INS$10,000
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020IA-INS$10,147
World Group Securities, Inc.Aegoninvestor protection violation2004ID-SEC$15,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006ID-SEC$415,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2004IL-SEC$5,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005IL-SEC$7,500
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2005IL-SEC$10,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2006IL-SEC$250,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2007IL-SEC$40,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008IL-SEC$1,449,384
ING Financial Partners, Inc.Voya Financialinvestor protection violation2008IL-SEC$4,677,326
LPL Financial Corp.LPL Financialinvestor protection violation2010IL-SEC$300,000
MetLife Securities, Inc.MetLifeinvestor protection violation2010IL-SEC$135,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2011IL-SEC$8,567,364
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2011IL-SEC$80,224
LPL Financial, LLCLPL Financialinvestor protection violation2011IL-SEC$250,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2012IL-SEC$25,930,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2012IL-SEC$7,500
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$2,000,000
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$815,218
Pruco Securities, LLCPrudential Financialinvestor protection violation2017IL-SEC$900,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2017IL-SEC$270,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010IN-SEC$692,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2010IN-SEC$9,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010IN-SEC$8,495
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2011IN-SEC$10,000
UBS Financial ServicesUBSinvestor protection violation2011IN-SEC$677,000
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2011IN-SEC$7,500
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2012IN-SEC$210,000
LPL Financial, LLCLPL Financialinvestor protection violation2013IN-SEC$14,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2013IN-SEC$8,500
Prosper MarketplaceProsper Marketplaceinvestor protection violation2015IN-SEC$13,957
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015IN-SEC$475,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2016IN-SEC$905,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016IN-SEC$950,000
NYLIFE Securities, LLCNew York Life Insuranceinvestor protection violation2017IN-SEC$275,000
LPL Financial, LLCLPL Financialinvestor protection violation2018IN-SEC$450,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IN-SEC$15,575
Bank of LouisvilleTruist Financialinvestor protection violation2002KY-INS$27,000,000
Morgan Stanley D.W., Inc.Morgan Stanleyinvestor protection violation2004KY-FIN$100,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009KY-FIN$983,984
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020KY-FIN$325,000
State Street Global AdvisorsState Street Corp.investor protection violation2012MA-SEC$5,000,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2012MA-SEC$250,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2012MA-SEC$2,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2012MA-SEC$5,000,000
LPL Financial LLCLPL Financialinvestor protection violation2013MA-SEC$500,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2013MA-SEC$17,500,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MA-SEC$400,000
Lincoln Financial Advisors Corp.Lincoln Nationalinvestor protection violation2013MA-SEC$100,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2013MA-SEC$30,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2015MA-SEC$2,500,000
LPL Financial LLCLPL Financialinvestor protection violation2015MA-SEC$250,000
LPL Financial LLCLPL Financialinvestor protection violation2017MA-SEC$975,000
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2017MA-SEC$100,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2017MA-SEC$1,000,000
LPL Financial LLCLPL Financialinvestor protection violation2017MA-SEC$1,000,000
MetLife, Inc.MetLifeinvestor protection violation2018MA-SEC$1,000,000
LPL Financial LLCLPL Financialinvestor protection violation2019MA-SEC$1,100,000
Wells Fargo Clearing Services, LLCWells Fargoinvestor protection violation2019MA-SEC$450,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019MA-SEC$382,500
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019MA-SEC$150,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008MD-SEC$10,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2008MD-SEC$35,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2008MD-SEC$50,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2009MD-SEC$100,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2009MD-SEC$28,706
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2012MD-SEC$50,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MD-SEC$50,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2017MD-SEC$100,000
LPL Financial LLCLPL Financialinvestor protection violation2019MD-SEC$499,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2010ME-SEC$10,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2011ME-SEC$5,000
LendingClub CorporationLendingClub Corp.investor protection violation2013ME-SEC$45,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2019ME-SEC$50,000
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020ME-SEC$5,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016MI-SEC$900,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2020MI-SEC$50,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2002MN-FIN$5,000
Berthel Fisher & CompanyBerthel Fisherinvestor protection violation2003MN-FIN$10,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2005MN-FIN$2,000,000
ING Financial Partners, Inc.Voya Financialinvestor protection violation2012MN-FIN$5,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsinvestor protection violation2005MO-SEC$122,050
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.