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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.

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CompanyCurrent ParentPrimary Offense Type sort iconYearAgencyPenalty Amount
The Northern Trust CompanyNorthern Trustinvestor protection violation2015SEC$60,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2015SEC$400,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2015SEC$500,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015SEC$500,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2015SEC$500,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015SEC$500,000
Nationwide Life Insurance CompanyNationwideinvestor protection violation2015SEC$8,000,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015SEC$15,000,000
Wedbush SecuritiesWedbush Securitiesinvestor protection violation2014SEC$2,440,000
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2014SEC$61,800
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2014SEC$56,000
Investment Professionals Inc.Ameriprise Financialinvestor protection violation2014SEC$67,800
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014SEC$54,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2014SEC$61,200
Stifel Nicolaus & Co.Stifel Financialinvestor protection violation2014SEC$60,000
TD AmeritradeCharles Schwab Corp.investor protection violation2014SEC$100,800
UBS Financial ServicesUBSinvestor protection violation2014SEC$56,400
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2014SEC$67,200
E*TRADE SecuritiesMorgan Stanleyinvestor protection violation2014SEC$2,500,000
BlackRock Institutional Trust CompanyBlackRockinvestor protection violation2014SEC$1,675,350
LavaFlow Inc.Citigroupinvestor protection violation2014SEC$5,000,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2014SEC$4,500,000
Transamerica Financial AdvisorsAegoninvestor protection violation2014SEC$1,107,248
Western Asset Management CompanyFranklin Resourcesinvestor protection violation2014SEC$19,400,000
ConvergEx GroupToronto-Dominion Bankinvestor protection violation2013SEC$107,424,429
TD BankToronto-Dominion Bankinvestor protection violation2013SEC$15,000,000
Claritas Investments Ltd.Principal Financialinvestor protection violation2013SEC$144,819
Chicago Board Options ExchangeCBOE Holdingsinvestor protection violation2013SEC$6,000,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2012SEC$5,000,000
AXA RosenbergAXAinvestor protection violation2011SEC$242,000,000
Merrill LynchBank of Americainvestor protection violation2011SEC$10,000,000
Regions BankRegions Financialinvestor protection violation2010SEC$1,000,001
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.investor protection violation2010SEC$112,600,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2010SEC$313,300,000
Barclays Capital Inc.Barclaysinvestor protection violation2016CFTC$800,000
Barclays Bank PLCBarclaysinvestor protection violation2016CFTC$560,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupinvestor protection violation2015CFTC$150,000
INTL FCStone Markets, LLCStoneX Groupinvestor protection violation2015CFTC$200,000
FCStone, LLCStoneX Groupinvestor protection violation2015CFTC$140,000
ICE Futures U.S. Inc.IntercontinentalExchange Groupinvestor protection violation2015CFTC$3,000,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2015CFTC$18,000,000
Global Futures & Forex, Ltd.StoneX Groupinvestor protection violation2014CFTC$200,000
Macquarie Futures USA LLCMacquarieinvestor protection violation2013CFTC$150,000
FCStone LLCStoneX Groupinvestor protection violation2013CFTC$1,500,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2013CFTC$225,000
Cantor FitzgeraldCantor Fitzgeraldinvestor protection violation2012CFTC$700,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupinvestor protection violation2012CFTC$350,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2012CFTC$700,000
FCStone, LLC and Commodity Operations Inc.StoneX Groupinvestor protection violation2012CFTC$260,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2011CFTC$100,000
Vitol Inc. and Vitol Capital Management Ltd.Vitolinvestor protection violation2010CFTC$6,000,000
Noble Americas Corp.Vitolinvestor protection violation2010CFTC$130,000
UBS AGUBSinvestor protection violation2010CFTC$130,000
Scotia Capital Inc.Scotiabankinvestor protection violation2010CFTC$250,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2007CFTC$175,000
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2005CFTC$85,000
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2004CFTC$25,000
Republic New York Securities CorporationHSBCinvestor protection violation2001CFTC$5,000,000
Manulife Financial CorporationManulife Financialinvestor protection violation2004DOJ_ANTITRUST$1,000,000
Prudential Equity Group LLCPrudential Financialinvestor protection violation2006DOJ_CRIMINAL$600,000,000
ICAP plcCME Groupinvestor protection violation2009SEC$25,000,000
Regions BankRegions Financialinvestor protection violation2009SEC$1,000,000
Bank of America CorporationBank of Americainvestor protection violation2009SEC$33,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2009SEC$500,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009SEC$17,300,000
Evergreen Investment Management Company LLCWells Fargoinvestor protection violation2009SEC$40,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2009SEC$7,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009SEC$1,000,000
AmSouth BankRegions Financialinvestor protection violation2008SEC$11,400,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2008SEC$950,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008SEC$9,763,634
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)investor protection violation2007SEC$50,000,000
Evergreen Investment Management CompanyWells Fargoinvestor protection violation2007SEC$32,500,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2007SEC$10,500,000
Swiss Re Financial Products CorporationSwiss Reinvestor protection violation2007SEC$95,000
General American Life Insurance CompanyMetLifeinvestor protection violation2007SEC$3,300,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2007SEC$7,957,200
Zurich Capital Markets Inc.Zurich Insuranceinvestor protection violation2007SEC$16,800,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2007SEC$3,860,000
Goldman Sachs Execution and Clearing L.P.Goldman Sachsinvestor protection violation2007SEC$2,000,000
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007SEC$40,000,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesinvestor protection violation2006SEC$55,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2006SEC$10,000,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2006SEC$125,000
Banc of America Securities LLCBank of Americainvestor protection violation2006SEC$750,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2006SEC$1,500,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2006SEC$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2006SEC$1,500,000
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2006SEC$125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006SEC$1,500,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006SEC$125,000
RBC Dain Rauscher IncRoyal Bank of Canadainvestor protection violation2006SEC$1,500,000
SunTrust Capital Markets Inc.Truist Financialinvestor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2006SEC$125,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$250,000,000
American International Group, Inc.American International Groupinvestor protection violation2006SEC$800,000,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$30,000,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005SEC$72,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.