Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 Typesort icon Year Agency Penalty Amount
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group investor protection violation 2016 CFTC $490,246,741
INTL FCStone Markets, LLC INTL FCStone investor protection violation 2015 CFTC $200,000
FCStone, LLC INTL FCStone investor protection violation 2015 CFTC $140,000
ICE Futures U.S. Inc. IntercontinentalExchange Group investor protection violation 2015 CFTC $3,000,000
U.S. Bank National Association U.S. Bancorp investor protection violation 2015 CFTC $18,000,000
MF Global Holdings Ltd. MF Global investor protection violation 2014 CFTC $1,312,000,000
Hunter Wise Hunter Wise Commodities investor protection violation 2014 CFTC $108,000,000
Global Futures & Forex, Ltd. GAIN Capital Holdings investor protection violation 2014 CFTC $200,000
Macquarie Futures USA LLC Macquarie investor protection violation 2013 CFTC $150,000
FCStone LLC INTL FCStone investor protection violation 2013 CFTC $1,500,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2013 CFTC $225,000
Cantor Fitzgerald Cantor Fitzgerald investor protection violation 2012 CFTC $700,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2012 CFTC $700,000
FCStone, LLC and Commodity Operations Inc. INTL FCStone investor protection violation 2012 CFTC $260,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2011 CFTC $100,000
Vitol Inc. and Vitol Capital Management Ltd. Vitol investor protection violation 2010 CFTC $6,000,000
Noble Americas Corp. Vitol investor protection violation 2010 CFTC $130,000
UBS AG UBS investor protection violation 2010 CFTC $130,000
Scotia Capital Inc. Scotiabank investor protection violation 2010 CFTC $250,000
MF Global Inc. MF Global investor protection violation 2009 CFTC $10,000,000
MF Global Inc. MF Global investor protection violation 2007 CFTC $2,000,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2007 CFTC $175,000
Credit Lyonnais Rouse Limited Credit Agricole investor protection violation 2005 CFTC $85,000
Credit Lyonnais Rouse Limited Credit Agricole investor protection violation 2004 CFTC $25,000
Republic New York Securities Corporation HSBC investor protection violation 2001 CFTC $5,000,000
Manulife Financial Corporation Manulife Financial investor protection violation 2004 DOJ_ANTITRUST $1,000,000
Prudential Equity Group LLC Prudential Financial investor protection violation 2006 DOJ_CRIMINAL $600,000,000
ICAP plc ICAP investor protection violation 2009 SEC $25,000,000
Regions Bank Regions Financial investor protection violation 2009 SEC $1,000,000
Bank of America Corporation Bank of America investor protection violation 2009 SEC $33,000,000
Morgan Stanley Morgan Stanley investor protection violation 2009 SEC $500,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2009 SEC $17,300,000
Evergreen Investment Management Company LLC Wells Fargo investor protection violation 2009 SEC $40,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2009 SEC $7,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2009 SEC $1,000,000
AmSouth Bank Regions Financial investor protection violation 2008 SEC $11,400,000
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2008 SEC $950,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2008 SEC $9,763,634
Federal Home Loan Mortgage Corporation (Freddie Mac) Freddie Mac (Federal Home Loan Mortgage Corporation) investor protection violation 2007 SEC $50,000,000
Evergreen Investment Management Company Wells Fargo investor protection violation 2007 SEC $32,500,000
HSBC Bank USA, N.A. HSBC investor protection violation 2007 SEC $10,500,000
Swiss Re Financial Products Corporation Swiss Re investor protection violation 2007 SEC $95,000
General American Life Insurance Company MetLife investor protection violation 2007 SEC $3,300,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2007 SEC $7,957,200
Zurich Capital Markets Inc. Zurich Insurance investor protection violation 2007 SEC $16,800,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2007 SEC $3,860,000
Goldman Sachs Execution and Clearing L.P. Goldman Sachs investor protection violation 2007 SEC $2,000,000
Fred Alger Management, Inc. Alger Associates investor protection violation 2007 SEC $40,000,000
Hartford Financial Services Group, Inc. Hartford Financial Services investor protection violation 2006 SEC $55,000,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2006 SEC $10,000,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2006 SEC $125,000
Banc of America Securities LLC Bank of America investor protection violation 2006 SEC $750,000
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2006 SEC $1,500,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2006 SEC $1,500,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2006 SEC $1,500,000
J.P. Morgan Securities, Inc. JPMorgan Chase investor protection violation 2006 SEC $1,500,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2006 SEC $1,500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2006 SEC $1,500,000
Morgan Keegan & Company, Inc. Raymond James Financial investor protection violation 2006 SEC $125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2006 SEC $1,500,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2006 SEC $125,000
RBC Dain Rauscher Inc Royal Bank of Canada investor protection violation 2006 SEC $1,500,000
SunTrust Capital Markets Inc. Truist Financial investor protection violation 2006 SEC $125,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2006 SEC $125,000
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2006 SEC $250,000,000
American International Group, Inc. American International Group investor protection violation 2006 SEC $800,000,000
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
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
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2004 SEC $75,000,000
Knight Securities, L.P. Virtu Financial investor protection violation 2004 SEC $66,500,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. Franklin Resources investor protection violation 2004 SEC $20,000,000
American International Group, Inc. American International Group investor protection violation 2004 SEC $46,000,000
Wachovia Corporation Wells Fargo investor protection violation 2004 SEC $37,000,000
AIM Advisors, Inc. and AIM Distributors, Inc. Invesco investor protection violation 2004 SEC $50,000,000
Invesco Funds Group, Inc. Invesco investor protection violation 2004 SEC $325,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank investor protection violation 2004 SEC $2,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $11,600,000
Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2004 SEC $350,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $50,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2004 SEC $87,500,000
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2004 SEC $12,500,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. investor protection violation 2004 SEC $125,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2004 SEC $875,000
Morgan Keegan & Co., Inc. Raymond James Financial investor protection violation 2004 SEC $875,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. Prudential Financial investor protection violation 2004 SEC $375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation Cowen Inc. investor protection violation 2004 SEC $125,000
Janus Capital Management LLC Janus Henderson investor protection violation 2004 SEC $100,000,000
Conseco, Inc. CNO Financial investor protection violation 2004 SEC $15,000,000
Fidelity Brokerage Services, LLC Fidelity Investments investor protection violation 2004 SEC $1,000,000
Franklin Advisers, Inc. Franklin Resources investor protection violation 2004 SEC $50,000,000
Banc One Investment Advisors Corporation JPMorgan Chase investor protection violation 2004 SEC $50,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)