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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,268,054,805
Number of Penalty Records: 11,008
Note: The totals here are adjusted to account for the fact that each current 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$41,332,842,096155
UBS$27,709,494,893134
JPMorgan Chase$27,007,359,167119
Citigroup$19,742,743,935103
Deutsche Bank$15,634,467,27866
Goldman Sachs$13,126,412,84157
NatWest Group PLC$12,235,546,85725
Wells Fargo$10,735,220,989127
Morgan Stanley$9,877,862,956163
BNP Paribas$9,164,773,00010

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.

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CompanyCurrent ParentCurrent Parent Industry sort iconPrimary Offense TypeYearAgencyPenalty Amount
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2010NJ-AG$1,268,393
Bank of America Merrill LynchBank of Americafinancial servicesinvestor protection violation2018NY-AG$42,000,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2013FL-AG$28,000,000
Bank of New York MellonBank of New York Mellonfinancial servicesbanking violation2015NY-AG$167,500,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016NY-AG$35,000,000
Barclays Capital Inc.Barclaysfinancial servicestoxic securities abuses2016VA-AG$9,000,000
Bear Stearns & Co. LLCJPMorgan Chasefinancial servicesinvestor 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
BNY Mellon Shareowner ServicesBank of New York Mellonfinancial servicesinvestor protection violation2010MA-AG$30,000
Brown & Brown Insurance of Arizona, Inc.Brown & Brownfinancial servicestax violations2014CT-AG$37,650
Capital One BankCapital One Financialfinancial servicesbanking violation2005WI-AG$80,032
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2009DE-AG$309,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2009NJ-AG$3,300,932
Citigroup Global Markets Inc.Citigroupfinancial servicestoxic securities abuses2016VA-AG$4,750,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2017NY-AG$23,500,000
Conseco, Inc.CNO Financialfinancial servicesinvestor 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
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicestoxic securities abuses2016VA-AG$19,500,000
Credit Suisse First Boston Corp.UBSfinancial servicesinvestor 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 SecuritiesUBSfinancial servicesinvestor protection violation2016NY-AG$30,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011NJ-AG$1,057,996
Credit Suisse Securities (USA) LLCUBSfinancial servicestoxic securities abuses2016VA-AG$1,200,000
DB Structured Products, Inc.Deutsche Bankfinancial servicestoxic securities abuses2013NV-AG$11,500,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2002MULTI-AG$80,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicestoxic securities abuses2016VA-AG$5,621,897
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2009NJ-AG$1,057,350
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor 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 Mellonfinancial servicesinvestor protection violation2000NY-AG$2,000,000
Edward Jones & Co.Jones Financialfinancial servicesinvestor protection violation2008CA-AG$7,500,000
FirstBank Puerto RicoFirst Bancorp (Puerto Rico)financial servicesbanking violation2019FDIC$17,700
Franklin/Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004CA-AG$18,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor 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 & Co.Goldman Sachsfinancial servicestoxic securities abuses2016VA-AG$2,900,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2011NJ-AG$959,794
HSBC Securities (USA) Inc.HSBCfinancial servicestoxic securities abuses2016VA-AG$2,500,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2019SEC$42,700,000
INGVoya Financialfinancial servicesinvestor protection violation2006MULTI-AG$33,000,000
Interactive Brokers, LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2019NJ-AG$100,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesinvestor 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 Chasefinancial servicesinvestor protection violation2014DE-AG$51,400
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2010FL-AG$25,000,000
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2014NJ-AG$50,460
John Hancock Assignment Co.Manulife Financialfinancial servicestax violations2014CT-AG$38,910
JPMorgan ChaseJPMorgan Chasefinancial servicesinvestor protection violation2015MULTI-AG$150,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2010NJ-AG$1,149,028
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019MULTI-AG$25,848,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2017NJ-AG$975,000
Marsh and McLennanMarsh & McLennanfinancial servicesinvestor protection violation2009MULTI-AG$400,000,000
MercerMarsh & McLennanfinancial servicesaccounting fraud or deficiencies2010AK-AG$500,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2009DE-AG$459,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2002DE-AG$500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2010NJ-AG$4,871,620
Merrill LynchBank of Americafinancial servicesinvestor protection violation2002NY-AG$100,000,000
Merrill Lynch & Co.Bank of Americafinancial servicesinvestor protection violation2013NJ-AG$45,000,000
Merrill Lynch & Co. Inc.Bank of Americafinancial servicesinvestor 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 Americafinancial servicesinvestor 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 and Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2010NJ-AG$728,260
Midfirst BankMidFirst Bankfinancial servicesbanking violation2019OCC$35,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor 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 Stanleyfinancial servicesinvestor protection violation2019CA-AG$150,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2016IL-AG$22,500,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2011NJ-AG$1,560,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicestoxic securities abuses2016VA-AG$6,900,000
Morgan Stanley & Co., LLCMorgan Stanleyfinancial servicesinvestor protection violation2013NJ-AG$100,000
Morgan Stanley Mortgage Capital HoldingsMorgan Stanleyfinancial servicestoxic securities abuses2011NV-AG$28,200,000
MUFG Union Bank, National AssociationU.S. Bancorpfinancial servicesbanking violation2019OCC$109,667
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsfinancial servicesinvestor 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
OppenheimerFundsInvescofinancial servicesinvestor protection violation2010NM-AG$67,300,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2009OR-AG$20,000,000
OppenheimerFunds, Inc.Invescofinancial servicesinvestor protection violation2009IL-AG$77,230,000
Pacific Resources Benefits Advisors, LLCBrown & Brownfinancial servicestax violations2014CT-AG$5,400
Pioneer Credit Recovery, Inc.Navientfinancial servicestax violations2013CT-AG$12,255
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2011NJ-AG$35,000
RBC Capital Markets Corp.Royal Bank of Canadafinancial servicesinvestor protection violation2010NJ-AG$51,724
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2013NJ-AG$450,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2016VA-AG$10,000,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesinvestor protection violation2009DE-AG$22,156
Royal Bank of ScotlandNatWest Group PLCfinancial servicestoxic securities abuses2018IL-AG$20,000,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor 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
St. Paul Travelers Companies Inc.Travelersfinancial servicesinvestor protection violation2005NM-AG$67,500,000
State Street BankState Street Corp.financial servicesinvestor protection violation2010WA-AG$11,700,000
State Street Bank & Trust Co.State Street Corp.financial servicesinvestor 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.financial servicesinvestor 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.financial servicesinvestor protection violation2019SEC$88,780,000
SunTrust BankTruist Financialfinancial servicesbanking violation2005WI-AG$10,107
TD Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2015MA-AG$160,000
The Hartford Financial Services GroupHartford Financial Servicesfinancial servicesinvestor protection violation2006MULTI-AG$20,000,000
UBSUBSfinancial servicesinvestor protection violation2010MI-AG$117,000,000
UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2013DE-AG$70,077
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007NY-AG$23,300,000
UBS Securities LLCUBSfinancial servicestoxic securities abuses2016VA-AG$850,000
UBS Securities LLC and UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2011NJ-AG$3,790,487
UBS Warburg LLCUBSfinancial servicesinvestor 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 Fargofinancial servicesinvestor protection violation2006MULTI-AG$25,000,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009DE-AG$309,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2011NJ-AG$3,200,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019SEC$8,100,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2018IL-AG$17,250,000
Wells Fargo & CompanyWells Fargofinancial servicesinvestor protection violation2018NY-AG$65,000,000
Western Union Financial Services, Inc.Western Unionfinancial servicesanti-money-laundering deficiencies2010MULTI-AG$94,000,000
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.financial servicesbanking violation2019OCC$85,265
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2019CFTC$14,475,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.