Violation Tracker Parent Company Summary

Parent Company Name: 
E-Trade Financial
Ownership Structure: 
publicly traded (ticker symbol ETFC)
Headquartered in: 
New York
Major Industry: 
financial services
Specific Industry: 
financial services
Penalty total since 2000: 
Number of records: 
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$8,280,0004
employment-related offenses$2,450,0013
competition-related offenses$100,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$8,280,0004
wage and hour violation$2,400,0002
price-fixing or anti-competitive practices$100,0001
benefit plan administrator violation$50,0011

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.

Associated Names: 



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.
Download results as CSV or XML
Company Primary Offense Type Year Agency Penalty Amountsort icon
E*TRADE Securities LLC investor protection violation 2011 MULTI-FIN $5,000,000
E*TRADE Securities investor protection violation 2014 SEC $2,500,000
E-Trade wage and hour violation 2012 private lawsuit-federal $1,500,000
E-Trade wage and hour violation 2008 private lawsuit-federal $900,000
E*Trade Clearing LLC investor protection violation 2008 SEC $500,000
E*TRADE Securities LLC investor protection violation 2017 CFTC $280,000
E*Trade price-fixing or anti-competitive practices 2012 MULTI-AG $100,000
E*Trade Group, Inc. benefit plan administrator violation 2008 EBSA $50,001
Download results as CSV or XML