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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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 Parent CompaniesTotal Penalty $Number of Records
Bank of America$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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 (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Primary Offense Type Yearsort icon Agency Penalty Amount
IMTT INTERTERMINALL PIPELINE Macquarie environmental violation 2004 NJ-ENV $8,000
GOODRICH AVIATION TECH SRV INC Macquarie environmental violation 2004 WA-ENV $9,000
H&R Block Financial Advisors, Inc. H&R Block investor protection violation 2004 FINRA $825,000
Knight Securities, L.P. Virtu Financial investor protection violation 2004 FINRA $12,500,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2004 FINRA $275,000
Morgan Stanley DW Inc Morgan Stanley investor protection violation 2004 FINRA $336,510
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2004 FINRA $1,600,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2004 FINRA $700,000
Wachovia Securities LLC Wells Fargo investor protection violation 2004 FINRA $650,000
Prudential Equity Group LLC Prudential Financial investor protection violation 2004 FINRA $550,000
Raymond James Financial Services Inc. Raymond James Financial investor protection violation 2004 FINRA $400,000
Metropolitan Life Insurance Co. MetLife investor protection violation 2004 FINRA $375,000
NYLife Securities, Inc. New York Life Insurance investor protection violation 2004 FINRA $350,000
Edward Jones & Co., LP Jones Financial investor protection violation 2004 FINRA $300,000
Chase Investment Services Corp. JPMorgan Chase investor protection violation 2004 FINRA $250,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2004 FINRA $250,000
MML Investor Services, Inc. Massachusetts Mutual Life Insurance investor protection violation 2004 FINRA $250,000
Banc of America Investment Services Inc. Bank of America investor protection violation 2004 FINRA $200,000
ING Financial Partners, Inc. Voya Financial investor protection violation 2004 FINRA $200,000
New England Securities MetLife investor protection violation 2004 FINRA $200,000
Allstate Financial Services LLC Allstate investor protection violation 2004 FINRA $150,000
RBC Dain Rauscher, Inc. Royal Bank of Canada investor protection violation 2004 FINRA $150,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2004 FINRA $150,000
World Group Securities, Inc. Aegon investor protection violation 2004 FINRA $150,000
Jefferson Pilot Securities Corporation Lincoln National investor protection violation 2004 FINRA $125,000
SunAmerica Securities, Inc. American International Group investor protection violation 2004 FINRA $100,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2004 FINRA $250,000
Credit Suisse First Boston, L.L.C. Credit Suisse investor protection violation 2004 FINRA $50,000
Deutsche Bank Securities, Inc. Deutsche Bank investor protection violation 2004 FINRA $15,000
Schwab Capital Markets, L.P. Charles Schwab Corp. investor protection violation 2004 FINRA $70,000
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2004 FINRA $16,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs investor protection violation 2004 FINRA $75,000
UBS Securities, L.L.C. UBS investor protection violation 2004 FINRA $10,000
SG Cowen, LLC Cowen Inc. investor protection violation 2004 FINRA $800,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2004 FINRA $2,200,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2004 FINRA $5,000,000
Deutsche Bank Securities, Inc. Deutsche Bank investor protection violation 2004 FINRA $5,000,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2004 FINRA $5,000,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2004 FINRA $250,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2004 FINRA $250,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2004 FINRA $250,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2004 FINRA $2,400,000
Charles Schwab & Co, Inc. Charles Schwab Corp. investor protection violation 2004 FINRA $60,869
Edward Jones Jones Financial investor protection violation 2004 FINRA $25,181
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2004 FINRA $109,527
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2004 FINRA $38,312
Prudential Equity Group, LLC Prudential Financial investor protection violation 2004 FINRA $17,306
UBS Financial Services Inc. UBS investor protection violation 2004 FINRA $200,666
Wachovia Securities, LLC. Wells Fargo investor protection violation 2004 FINRA $39,486
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank investor protection violation 2004 FINRA $150,000
Stifel Nicolaus & Company Stifel Financial investor protection violation 2004 FINRA $125,000
American Express Financial Advisors, Inc. Ameriprise Financial investor protection violation 2004 FINRA $300,000
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2004 FINRA $4,950,000
Deutsche Bank Securities, Inc. Deutsche Bank investor protection violation 2004 FINRA $5,290,000
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2004 FINRA $5,390,000
Robertson Stephens, Inc. Bank of America investor protection violation 2004 FINRA $275,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2004 FINRA $250,000
State Street Research Investment Services, Inc. State Street Corp. investor protection violation 2004 FINRA $1,500,000
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2004 FINRA $280,469
Lehman Brothers Inc. Lehman Brothers investor protection violation 2004 FINRA $123,882
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2004 FINRA $36,971
Credit Suisse First Boston LLC Credit Suisse investor protection violation 2004 FINRA $770,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC Prudential Financial investor protection violation 2004 FINRA $11,500,000
Fannie Mae Fannie Mae campaign finance violation 2004 FEC $10,000
WELLS FARGO SECURITIES, LLC. Wells Fargo workplace safety or health violation 2004 OSHA $5,000
KEYBANK NATIONAL ASSOCIATION KeyCorp workplace safety or health violation 2004 OSHA $28,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2004 MSHA $5,800
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2004 MSHA $36,800
Credit Lyonnais Rouse Limited Credit Agricole investor protection violation 2005 CFTC $85,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $5,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $90,000
First Interstate Bank First Interstate Bancsystem banking violation 2005 FED $15,750
Capital City Mortgage Corporation Capital City Bank Group consumer protection violation 2005 FTC $750,000
Bank of China Bank of China economic sanction violation 2005 OFAC $11,000
Fidelity Brokerage Services, Inc. dba Fidelity Investments Fidelity Investments economic sanction violation 2005 OFAC $63,853
PNC Bank PNC Financial Services economic sanction violation 2005 OFAC $8,200
Seabury & Smith Inc. Marsh & McLennan economic sanction violation 2005 OFAC $46,341
SunTrust Bank Truist Financial economic sanction violation 2005 OFAC $40,423
SunTrust Bank Truist Financial economic sanction violation 2005 OFAC $30,800
The Bank of New York Bank of New York Mellon economic sanction violation 2005 OFAC $5,844
Wachovia Bank Wells Fargo economic sanction violation 2005 OFAC $5,500
Wells Fargo Bank Wells Fargo economic sanction violation 2005 OFAC $42,833
Lasalle Bank MidWest National Association Bank of America banking violation 2005 OCC $6,250,000
First Tennessee Bank National Association First Horizon National banking violation 2005 OCC $180,000
Wells Fargo Bank, National Association Wells Fargo banking violation 2005 OCC $115,000
City National Bank Royal Bank of Canada banking violation 2005 OCC $750,000
First National Bank of Omaha First National of Nebraska banking violation 2005 OCC $20,000
Ameriprise Financial, Inc. Ameriprise Financial investor protection violation 2005 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial investor protection violation 2005 SEC $30,000,000
Federated Investors, Inc. Federated Hermes investor protection violation 2005 SEC $72,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce investor protection violation 2005 SEC $125,000,000
Huntington Bancshares, Inc. Huntington Bancshares accounting fraud or deficiencies 2005 SEC $7,500,000
Citigroup, Inc. Citigroup investor protection violation 2005 SEC $208,000,000
New York Stock Exchange, Inc. IntercontinentalExchange Group investor protection violation 2005 SEC $20,000,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2005 SEC $20,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America investor protection violation 2005 SEC $375,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. Ameriprise Financial investor protection violation 2005 SEC $140,000,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2005 SEC $40,000,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2005 SEC $40,000,000
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2005 SEC $10,000,000
Oppenheimer & Company, Inc. Oppenheimer Holdings anti-money-laundering deficiencies 2005 FINCEN $2,800,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)