Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each 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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

Individual Penalty Records:

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

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
Knight Securities L.P.Virtu Financialinvestor protection violation2002FINRA$1,500,000
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2001FINRA$100,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2001FINRA$20,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Schwab Capital MarketsUBSinvestor protection violation2001FINRA$12,000
Spear, Leeds & KelloggGoldman Sachsinvestor protection violation2001FINRA$10,000
E-Trade SecuritiesMorgan Stanleyinvestor protection violation2001FINRA$90,000
Banc of America Securities LLCBank of Americainvestor protection violation2001FINRA$40,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2001FINRA$25,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2001FINRA$15,000
Chase Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Josephthal & Co., Inc.Oppenheimer Holdingsinvestor protection violation2001FINRA$2,300,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2001FINRA$225,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2001FINRA$10,000
First Union Brokerage Services, Inc.Wells Fargoinvestor protection violation2001FINRA$32,500
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2000FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2000FINRA$97,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
John Nuveen & Co., Inc.TIAAinvestor protection violation2000FINRA$6,630,000
First Union Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$350,000
J. P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2000FINRA$200,000
Kemper Distributors, Inc.Kemperinvestor protection violation2000FINRA$100,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2000FINRA$5,890,000
Raymond James & Associates Inc.Raymond James Financialinvestor protection violation2000FINRA$3,410,000
CS First Boston Corp.UBSinvestor protection violation2000FINRA$1,240,000
Piper Jaffray Inc.Piper Sandlerinvestor protection violation2000FINRA$933,000
Southwest Securities Inc.Hilltop Holdingsinvestor protection violation2000FINRA$500,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$100,000
Morgan Stanley & Co., Inc.Morgan Stanleyinvestor protection violation2000FINRA$495,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2021FINRA$69,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2021FINRA$11,650,000
Credit Suisse SecuritiesUBSinvestor protection violation2022FINRA$9,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2022FINRA$15,200,000
UBS Securities LLCUBSinvestor protection violation2022FINRA$2,500,000
BofA Securities, Inc.Bank of Americainvestor protection violation2022FINRA$5,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americaanti-money-laundering deficiencies2023FINRA$6,000,000
BofA Securities, Inc.Bank of Americainvestor protection violation2023FINRA$24,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2024FINRA$1,600,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsanti-money-laundering deficiencies2015FINCEN$20,000,000
J.P. Morgan Chase Bank, N.A.JPMorgan Chaseanti-money-laundering deficiencies2014FINCEN$461,000,000
Wachovia BankWells Fargoanti-money-laundering deficiencies2010FINCEN$110,000,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007FINCEN$10,000,000
Israel Discount BankIsrael Discount Bankanti-money-laundering deficiencies2006FINCEN$12,000,000
Oppenheimer & Company, Inc.Oppenheimer Holdingsanti-money-laundering deficiencies2005FINCEN$2,800,000
AmSouthRegions Financialanti-money-laundering deficiencies2004FINCEN$10,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018FINCEN$70,000,000
UBS Financial Services Inc.UBSanti-money-laundering deficiencies2018FINCEN$5,000,000
Capital One, National AssociationCapital One Financialanti-money-laundering deficiencies2021FINCEN$290,000,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022FINCEN$80,000,000
Binance Holdings Limited,Binance Holdingsanti-money-laundering deficiencies2023FINCEN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,400,000,000
HSBC North America Holdings Inc.HSBCtoxic securities abuses2014FHFA$550,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2014FHFA$3,150,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2014FHFA$99,500,000
First Horizon National CorporationFirst Horizon Nationaltoxic securities abuses2014FHFA$110,000,000
Barclays Bank PLCBarclaystoxic securities abuses2014FHFA$280,000,000
Bank of America CorporationBank of Americatoxic securities abuses2014FHFA$9,300,000,000
Credit SuisseUBStoxic securities abuses2014FHFA$885,000,000
Societe GeneraleSociete Generaletoxic securities abuses2014FHFA$122,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2014FHFA$1,250,000,000
Deutsche Bank AGDeutsche Banktoxic securities abuses2013FHFA$1,925,000,000
UBS Americas Inc.UBStoxic securities abuses2013FHFA$885,000,000
Wells FargoWells Fargotoxic securities abuses2013FHFA$591,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$404,000,000
Wells Fargo Bank, National AssociationWells Fargotoxic securities abuses2013FHFA$869,000,000
Citimortgage Inc. and Citibank N.A.Citigrouptoxic securities abuses2013FHFA$395,000,000
SunTrust Mortgage, Inc.Truist Financialtoxic securities abuses2013FHFA$65,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,300,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,520,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$10,350,000,000
CitigroupCitigrouptoxic securities abuses2013FHFA$968,000,000
Royal Bank of Scotland PLCNatWest Group PLCtoxic securities abuses2017FHFA$5,500,000,000
Deutsche Bank Energy Trading LLDeutsche Bankprice-fixing or anti-competitive practices2013FERC$1,670,000
JP Morgan Ventures Energy CorporationJPMorgan Chaseprice-fixing or anti-competitive practices2013FERC$410,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2017FERC$105,000,000
Cleco Power, LLCMacquarieenergy market violation2007FERC$2,000,000
Cleco CorporationMacquarieenergy market violation2003FERC$2,850,000
El Paso Electric CorporationJPMorgan Chaseenergy market violation2003FERC$15,500,000
Louis Dreyfus Energy ServiceLouis Dreyfusenergy market violation2014FERC$7,406,257
Wheelabrator Claremont Company, L.P.Macquarieenergy market violation2018FERC$357,231
Vitol Inc.Vitolenergy market violation2019FERC$2,742,881
Vitol Inc.Vitolenergy market violation2024FERC$2,225,000
HSBC North America Holdings, Inc.HSBCbanking violation2016FED$131,000,000
Deutsche Bank AGDeutsche Bankeconomic sanction violation2015FED$58,000,000
Credit Agricole S.A.Credit Agricoleeconomic sanction violation2015FED$90,300,000
INDEPENDENT BANKIndependent Bank Corp. (Michigan)banking violation2015FED$56,205
BANK OF AMERICA CORPORATIONBank of Americabanking violation2015FED$205,000,000
ROYAL BANK OF SCOTLAND PLCNatWest Group PLCbanking violation2015FED$274,000,000
UBS AGUBSbanking violation2015FED$342,000,000
BARCLAYS BANK PLCBarclaysprice-fixing or anti-competitive practices2015FED$342,000,000
CITIGROUP INC.Citigroupbanking violation2015FED$342,000,000
JPMORGAN CHASE & CO.JPMorgan Chasebanking violation2015FED$342,000,000
COMMERZBANK AGCommerzbankbanking violation2015FED$200,000,000
SunTrust Banks, Inc.Truist Financialbanking violation2014FED$160,000,000
Cole Taylor BankFifth Third Bancorpbanking violation2014FED$3,510,000
Regions BankRegions Financialbanking violation2014FED$46,000,000
Credit Suisse AGUBSbanking violation2014FED$100,000,000
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCbanking violation2013FED$50,000,000
Midland States BankMidland States Bancorpbanking violation2013FED$5,645
JPMORGAN CHASE & CO.JPMorgan Chasebanking violation2013FED$200,000,000
Goldman SachsGoldman Sachsmortgage abuses2013FED$330,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.