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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Fidelity Investments
Ownership Structure: privately held
Headquartered in: Massachusetts
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2000$54,068,354
Number of records: 14
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
employment-related offenses$24,060,0014
financial offenses$22,001,3538
competition-related offenses$8,000,0001
safety-related offenses$7,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
benefit plan administrator violation$22,860,0013
investor protection violation$21,937,5007
kickbacks and bribery$8,000,0001
wage and hour violation$1,200,0001
economic sanction violation$63,8531
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below 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. The totals 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 list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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Company sort iconPrimary Offense TypeYearAgencyPenalty Amount
FMR LLCbenefit plan administrator violation2014private lawsuit-federal$12,000,000
FMR LLCbenefit plan administrator violation2021EBSA$10,001
Fiserv Securities, Inc.investor protection violation2005SEC$15,000,000
Fidelity Management Trust Companybenefit plan administrator violation2007private lawsuit-federal$10,850,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporationinvestor protection violation2007FINRA$400,000
FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS, INCworkplace safety or health violation2011OSHA$7,000
Fidelity Investmentskickbacks and bribery2008SEC$8,000,000
Fidelity Investmentswage and hour violation2019private lawsuit-federal$1,200,000
Fidelity Distributors Corp. et al.investor protection violation2007FINRA$3,750,000
Fidelity Brokerage Services, LLCinvestor protection violation2004SEC$1,000,000
Fidelity Brokerage Services, Inc. dba Fidelity Investmentseconomic sanction violation2005OFAC$63,853
Fidelity Brokerage Services LLCinvestor protection violation2011IN-SEC$7,500
Fidelity Brokerage Services LLCinvestor protection violation2015FINRA$1,030,000
Fidelity Brokerage Services LLCinvestor protection violation2023MA-SEC$750,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.