Violation Tracker Parent Company Summary

Parent Company Name: 
Fidelity Investments
Ownership Structure: 
privately held
Headquartered in: 
Massachusetts
Major Industry: 
financial services
Specific Industry: 
financial services
Penalty total since 2000: 
$37,278,353
Number of records: 
8
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$16,071,3534
employment-related offenses$13,200,0002
competition-related offenses$8,000,0001
safety-related offenses$7,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$16,007,5003
benefit plan administrator violation$12,000,0001
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.

Associated Names: 

FIDELITY; FIDELITY BROKERAGE SVC; FIDELITY BROKERAGE SVC DBA FIDELITY INVESTMENTS; Fidelity Investments; Fiserv Securities, Inc.; FMR, INC

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 Primary Offense Type Year Agency Penalty Amountsort icon
Fiserv Securities, Inc. investor protection violation 2005 SEC $15,000,000
FMR LLC benefit plan administrator violation 2014 private lawsuit-federal $12,000,000
Fidelity Investments kickbacks and bribery 2008 SEC $8,000,000
Fidelity Investments wage and hour violation 2019 private lawsuit-federal $1,200,000
Fidelity Brokerage Services, LLC investor protection violation 2004 SEC $1,000,000
Fidelity Brokerage Services, Inc. dba Fidelity Investments economic sanction violation 2005 OFAC $63,853
Fidelity Brokerage Services LLC investor protection violation 2011 IN-SEC $7,500
FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS, INC workplace safety or health violation 2011 OSHA $7,000
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