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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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
Zions Direct, Inc.Zions Bancorporationinvestor protection violation2010FINRA$225,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2010FINRA$375,000
Merrill LynchBank of Americainvestor protection violation2010FINRA$2,500,000
Morgan Stanley & Co., Inc.Morgan Stanleyinvestor protection violation2010FINRA$800,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2010FINRA$1,440,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2010FINRA$7,500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010FINRA$1,500,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2010FINRA$700,000
Deutsche Bank SecuritiesDeutsche Bankinvestor protection violation2010FINRA$575,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2010FINRA$135,000
HSBC Securities (USA)HSBCinvestor protection violation2010FINRA$1,500,000
US Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2010FINRA$275,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010FINRA$650,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2010FINRA$200,000
H&R Block Financial Advisors, Inc.H&R Blockinvestor protection violation2010FINRA$200,000
MetLife Securities, Inc.MetLifeinvestor protection violation2009FINRA$1,200,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009FINRA$600,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$425,000
UBS SecuritiesUBSinvestor protection violation2009FINRA$268,000
Deutsche BankDeutsche Bankinvestor protection violation2009FINRA$152,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2009FINRA$200,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2009FINRA$150,000
Credit Suisse Securities (USA), LLCUBSinvestor protection violation2009FINRA$275,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2009FINRA$100,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009FINRA$150,000
UBS Financial Services, Inc.UBSinvestor protection violation2009FINRA$100,000
KeyBanc Capital Markets, Inc.KeyCorpinvestor protection violation2009FINRA$425,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009FINRA$275,000
PNC InvestmentsPNC Financial Servicesinvestor protection violation2009FINRA$250,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$250,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2009FINRA$1,000,000
ICAP Corporates LLCCME Groupinvestor protection violation2009FINRA$2,800,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2009FINRA$1,400,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2009FINRA$1,000,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2009FINRA$400,000
M&T Securities, Inc.M&T Bankinvestor protection violation2009FINRA$200,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2009FINRA$200,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2009FINRA$1,750,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2009FINRA$900,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2009FINRA$7,200,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargoinvestor protection violation2009FINRA$1,100,000
New England SecuritiesMetLifeinvestor protection violation2009FINRA$500,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2009FINRA$300,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$32,500
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2009FINRA$25,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$2,000,000
Wachovia SecuritiesWells Fargoinvestor protection violation2009FINRA$4,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2008FINRA$300,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2008FINRA$250,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$700,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2008FINRA$1,650,000
Comerica Securities, Inc.Comericainvestor protection violation2008FINRA$750,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$300,000
Prudential SecuritiesWells Fargoinvestor protection violation2008FINRA$1,050,000
UBS Financial Services, Inc.UBSinvestor protection violation2008FINRA$1,000,000
Pruco SecuritiesPrudential Financialinvestor protection violation2008FINRA$100,000
Merrill LynchBank of Americainvestor protection violation2008FINRA$250,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2008FINRA$4,500,000
Banc One Securities CorporationJPMorgan Chaseinvestor protection violation2008FINRA$225,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2008FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2008FINRA$200,000
Thomas Weisel Partners, LLCStifel Financialinvestor protection violation2008FINRA$200,000
UBS Securities, LLCUBSinvestor protection violation2008FINRA$200,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2008FINRA$150,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2008FINRA$150,000
Cowen and Company, LLCToronto-Dominion Bankinvestor protection violation2008FINRA$150,000
Deutsche Bank Securities, Inc.,Deutsche Bankinvestor protection violation2008FINRA$150,000
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2008FINRA$150,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2008FINRA$50,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2008FINRA$100,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2007FINRA$500,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007FINRA$300,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2007FINRA$1,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2007FINRA$370,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2007FINRA$12,500,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2007FINRA$2,600,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2007FINRA$6,100,000
MML Investors Services, Inc.Massachusetts Mutual Life Insuranceinvestor protection violation2007FINRA$473,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2007FINRA$354,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2007FINRA$100,000
Wells Fargo Securities, LLCWells Fargoinvestor protection violation2007FINRA$250,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007FINRA$2,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2007FINRA$15,200,000
HSBC BrokerageHSBCinvestor protection violation2007FINRA$250,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors CorporationFidelity Investmentsinvestor protection violation2007FINRA$400,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2007FINRA$2,750,000
Putnam Retail Management Limited PartnershipFranklin Resourcesinvestor protection violation2007FINRA$175,000
AllianceBernstein Investments, Inc.Equitable Holdingsinvestor protection violation2007FINRA$100,000
Fidelity Distributors Corp. et al.Fidelity Investmentsinvestor protection violation2007FINRA$3,750,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2006FINRA$4,000,000
USAllianz SecuritiesAllianzinvestor protection violation2006FINRA$5,000,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2006FINRA$250,000
RBC Dain Rauscher Inc.Royal Bank of Canadainvestor protection violation2006FINRA$250,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006FINRA$100,000
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2006FINRA$500,000
MetLife Securities, IncMetLifeinvestor protection violation2006FINRA$500,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2006FINRA$850,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2006FINRA$800,000
MetLife, Inc.MetLifeinvestor protection violation2006FINRA$5,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2006FINRA$2,900,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2006FINRA$1,115,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.