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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
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2016SEC$500,000
Keybanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2016SEC$440,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016SEC$500,000
SG Americas Securities LLCSociete Generalefinancial servicesinvestor protection violation2015SEC$1,011,093
KCG Americas LLCVirtu Financialfinancial servicesinvestor protection violation2015SEC$1,055,197
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015SEC$100,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2015SEC$60,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2015SEC$200,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2015SEC$200,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2015SEC$20,000
U.S. Bank Municipal Securities GroupU.S. Bancorpfinancial servicesinvestor protection violation2015SEC$60,000
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.financial servicesinvestor protection violation2015SEC$420,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2015SEC$480,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2015SEC$500,000
Macquarie Capital Investment Management LLC, et alMacquariefinancial servicesinvestor protection violation2015SEC$120,000
US BancorpU.S. Bancorpfinancial servicesbanking violation2018FED$15,000,000
Rabobank National AssociationRabobankfinancial servicesanti-money-laundering deficiencies2018DOJ_CRIMINAL$368,701,259
U.S. BancorpU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018USAO$453,000,000
Rabobank, National AssociationRabobankfinancial servicesanti-money-laundering deficiencies2018OCC$50,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018OCC$75,000,000
Voya Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2018SEC$3,600,000
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americafinancial servicesinvestor protection violation2018SEC$1,404,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2018SEC$14,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018SEC$4,450,000
Ameriprise Financial ServicesAmeriprise Financialfinancial servicesinvestor protection violation2018SEC$230,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018FINCEN$70,000,000
Flagstar Bank, FSBNew York Community Bancorpfinancial servicesbanking violation2016OCC$500,000
First Niagara Bank, National AssociationKeyCorpfinancial servicesbanking violation2016OCC$2,000,000
First National Bank of OmahaFirst National of Nebraskafinancial servicesbanking violation2016OCC$3,000,000
PNC Investments LLCPNC Financial Servicesfinancial servicesinvestor protection violation2018SEC$7,307,770
Brown Brothers Harriman & Co.Brown Brothers Harrimanfinancial servicesinvestor protection violation2014SEC$120,000
Royal Bank of Scotland Group plcNatWest Group PLCfinancial servicesinvestor protection violation2014SEC$120,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014SEC$20,000,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesbanking violation2018OCC$500,000,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2013SEC$300,000
Knight Capital Americas LLCVirtu Financialfinancial servicesinvestor protection violation2013SEC$12,000,000
ABN AMRO Bank, N.V.ABN AMROfinancial servicesinvestor protection violation2013SEC$5,547,408
UBS O'Connor, LLCUBSfinancial servicesinvestor protection violation2013SEC$5,297,716
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.financial servicesinvestor protection violation2013SEC$10,000,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsfinancial servicesinvestor protection violation2013SEC$2,886,677
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2012SEC$100,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSfinancial servicesinvestor protection violation2011SEC$2,500,000
BNY Mellon Securities LLCBank of New York Mellonfinancial servicesinvestor protection violation2011SEC$24,045,447
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2010SEC$200,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2010SEC$225,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2010SEC$470,147
CitigroupCitigroupfinancial servicesbanking violation2018FED$8,600,000
Rabobank N.A.Rabobankfinancial servicesanti-money-laundering deficiencies2018USAO$500,000
TCF National BankHuntington Bancsharesfinancial servicesbanking violation2018OCC$3,000,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2018OCC$207,245
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2018OCC$15,000,000
Bank of ChinaBank of Chinafinancial servicesbanking violation2018OCC$12,500,000
AEGON USA Investment Management LLC et al.Aegonfinancial servicesinvestor protection violation2018SEC$97,600,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018SEC$8,900,000
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018SEC$4,500,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2018SEC$1,250,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2018SEC$5,108,441
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018SEC$42,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2018SEC$15,700,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018SEC$860,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018SEC$2,800,000
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2018SEC$8,872,723
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2018SEC$1,250,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2009SEC$150,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2009SEC$50,000
New York Life Investment Management LLCNew York Life Insurancefinancial servicesinvestor protection violation2009SEC$6,100,784
American Skandia Investment Services, Inc.Prudential Financialfinancial servicesinvestor protection violation2009SEC$68,000,000
TD Options LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2009SEC$1,000,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsfinancial servicesinvestor protection violation2009SEC$7,200,000
Knight Financial Products, LLCVirtu Financialfinancial servicesinvestor protection violation2009SEC$2,040,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009SEC$125,000
Oppenheimer & Co. IncOppenheimer Holdingsfinancial servicesinvestor protection violation2009SEC$850,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2009SEC$8,384,932
Ferris, Baker Watts, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2009SEC$800,656
Gabelli Funds, LLCGamco Investors Inc.financial servicesinvestor protection violation2009SEC$450,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2018SEC$1,900,000
Commerzbank AGCommerzbankfinancial servicesinvestor protection violation2018CFTC$12,000,000
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2018CFTC$800,000
Mizuho Bank, Ltd.Mizuho Financialfinancial servicesinvestor protection violation2018CFTC$250,000
Bank of New York MellonBank of New York Mellonfinancial servicesbanking violation2018FED$16,000
Societe Generale S.A.Societe Generalefinancial serviceseconomic sanction violation2018USAO$717,200,000
LendingClub CorporationLendingClub Corp.financial servicesbanking violation2018USAO$2,000,000
Societe Generale S.A.Societe Generalefinancial serviceseconomic sanction violation2018OFAC$53,966,916
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial serviceseconomic sanction violation2018OFAC$5,263,171
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018SEC$5,000,000
LendingClub Asset Management LLCLendingClub Corp.financial servicesinvestor protection violation2018SEC$5,000,000
Voya Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2018SEC$1,000,000
SG Americas Securities LLC (Societe Generale)Societe Generalefinancial servicesinvestor protection violation2018SEC$800,000
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2018SEC$513,194
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2018SEC$1,000,000
TD Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018SEC$500,000
Heartland Payment Systems, LLCGlobal Payments Inc.financial servicesinvestor protection violation2018SEC$2,160,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2018SEC$100,000
LPL Financial CorporationLPL Financialfinancial servicesinvestor protection violation2008SEC$275,000
E*Trade Clearing LLCMorgan Stanleyfinancial servicesinvestor protection violation2008SEC$500,000
Gabelli Funds LLCGamco Investors Inc.financial servicesinvestor protection violation2008SEC$16,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2008SEC$1,998,143
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007SEC$17,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007SEC$7,500,000
Smith Barney Fund Management LLCMorgan Stanleyfinancial servicesinvestor protection violation2007SEC$450,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2007SEC$350,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.