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 Typesort icon Year Agency Penalty Amount
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2017 IL-SEC $270,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2010 IN-SEC $692,000
ProEquities, Inc. Dai-ichi Life investor protection violation 2010 IN-SEC $9,000
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2010 IN-SEC $8,495
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2011 IN-SEC $10,000
UBS Financial Services UBS investor protection violation 2011 IN-SEC $677,000
Fidelity Brokerage Services LLC Fidelity Investments investor protection violation 2011 IN-SEC $7,500
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2012 IN-SEC $210,000
LPL Financial, LLC LPL Financial investor protection violation 2013 IN-SEC $14,000
Fifth Third Securities, Inc. Fifth Third Bancorp investor protection violation 2013 IN-SEC $8,500
Prosper Marketplace Prosper Marketplace investor protection violation 2015 IN-SEC $13,957
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2015 IN-SEC $475,000
JPMorgan Chase & Co. JPMorgan Chase investor protection violation 2016 IN-SEC $905,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2016 IN-SEC $950,000
NYLIFE Securities, LLC New York Life Insurance investor protection violation 2017 IN-SEC $275,000
LPL Financial, LLC LPL Financial investor protection violation 2018 IN-SEC $450,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 IN-SEC $15,575
Bank of Louisville Truist Financial investor protection violation 2002 KY-INS $27,000,000
Morgan Stanley D.W., Inc. Morgan Stanley investor protection violation 2004 KY-FIN $100,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2009 KY-FIN $983,984
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2020 KY-FIN $325,000
State Street Global Advisors State Street Corp. investor protection violation 2012 MA-SEC $5,000,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2012 MA-SEC $250,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2012 MA-SEC $2,000,000
Morgan Stanley & Co. LLC Morgan Stanley investor protection violation 2012 MA-SEC $5,000,000
LPL Financial LLC LPL Financial investor protection violation 2013 MA-SEC $500,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2013 MA-SEC $17,500,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2013 MA-SEC $400,000
Lincoln Financial Advisors Corp. Lincoln National investor protection violation 2013 MA-SEC $100,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2013 MA-SEC $30,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2015 MA-SEC $2,500,000
LPL Financial LLC LPL Financial investor protection violation 2015 MA-SEC $250,000
LPL Financial LLC LPL Financial investor protection violation 2017 MA-SEC $975,000
Investment Professionals, Inc. Ameriprise Financial investor protection violation 2017 MA-SEC $100,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2017 MA-SEC $1,000,000
LPL Financial LLC LPL Financial investor protection violation 2017 MA-SEC $1,000,000
MetLife, Inc. MetLife investor protection violation 2018 MA-SEC $1,000,000
LPL Financial LLC LPL Financial investor protection violation 2019 MA-SEC $1,100,000
Wells Fargo Clearing Services, LLC Wells Fargo investor protection violation 2019 MA-SEC $450,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2019 MA-SEC $382,500
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2019 MA-SEC $150,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2008 MD-SEC $10,000
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2008 MD-SEC $35,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2008 MD-SEC $50,000
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2009 MD-SEC $100,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2009 MD-SEC $28,706
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2012 MD-SEC $50,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2013 MD-SEC $50,000
JPMorgan Chase Bank, N.A. JPMorgan Chase investor protection violation 2017 MD-SEC $100,000
LPL Financial LLC LPL Financial investor protection violation 2019 MD-SEC $499,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2010 ME-SEC $10,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2011 ME-SEC $5,000
LendingClub Corporation LendingClub Corp. investor protection violation 2013 ME-SEC $45,000
NYLIFE Securities LLC New York Life Insurance investor protection violation 2019 ME-SEC $50,000
Solium Financial Services, LLC Morgan Stanley investor protection violation 2020 ME-SEC $5,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2016 MI-SEC $900,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2020 MI-SEC $50,000
American Express Financial Advisors, Inc. Ameriprise Financial investor protection violation 2002 MN-FIN $5,000
Berthel Fisher & Company Berthel Fisher investor protection violation 2003 MN-FIN $10,000
American Express Financial Advisors, Inc. Ameriprise Financial investor protection violation 2005 MN-FIN $2,000,000
ING Financial Partners, Inc. Voya Financial investor protection violation 2012 MN-FIN $5,000
Oppenheimer & Co., Inc. Oppenheimer Holdings investor protection violation 2005 MO-SEC $122,050
Edward D. Jones & Co. L.P. Jones Financial investor protection violation 2005 MO-SEC $1,500,000
Waddell & Reed, Inc. Macquarie investor protection violation 2006 MO-SEC $172,161
World Group Securities, Inc. Aegon investor protection violation 2006 MO-SEC $228,600
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2007 MO-SEC $230,469
Investment Centers of America, Inc. LPL Financial investor protection violation 2007 MO-SEC $1,031,618
UBS Financial Services, Inc. UBS investor protection violation 2007 MO-SEC $697,210
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2009 MO-SEC $20,000
Securian Financial Services, Inc. Securian Financial investor protection violation 2009 MO-SEC $79,445
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2009 MO-SEC $52,300
UBS Financial Services, Inc. UBS investor protection violation 2009 MO-SEC $170,175
Investment Professionals, Inc. Ameriprise Financial investor protection violation 2009 MO-SEC $52,500
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2010 MO-SEC $211,617
Edward D. Jones & Co. L.P. Jones Financial investor protection violation 2010 MO-SEC $40,500
Bankers Life and Casualty Co. CNO Financial investor protection violation 2010 MO-SEC $789,600
LPL Financial Corp. LPL Financial investor protection violation 2010 MO-SEC $37,540
Citigroup Global Markets, Inc. Citigroup investor protection violation 2010 MO-SEC $277,500
AXA Advisors, LLC Equitable Holdings investor protection violation 2010 MO-SEC $92,015
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2011 MO-SEC $765,993
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2011 MO-SEC $5,000
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2012 MO-SEC $1,101,385
LendingClub Corp. LendingClub Corp. investor protection violation 2012 MO-SEC $105,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2013 MO-SEC $80,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2013 MO-SEC $2,121,579
LPL Financial LLC LPL Financial investor protection violation 2013 MO-SEC $185,000
Bankers Life and Casualty Co. CNO Financial investor protection violation 2015 MO-SEC $102,178
ProEquities, Inc. Dai-ichi Life investor protection violation 2015 MO-SEC $128,528
Morgan Keegan & Company, Inc. Raymond James Financial investor protection violation 2016 MO-SEC $850,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2017 MO-SEC $25,672
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MO-SEC $9,130
AmSouth Investment Services, Inc. Regions Financial investor protection violation 2004 MS-SEC $225,000
MetLife Securities, Inc. MetLife investor protection violation 2006 MS-SEC $50,000
Morgan Keegan & Company, Inc. Raymond James Financial investor protection violation 2007 MS-SEC $12,500
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2008 MS-SEC $150,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2016 MS-SEC $4,743,815
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2017 MS-SEC $50,000
LPL Financial LLC LPL Financial investor protection violation 2018 MS-SEC $40,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2003 MT-SEC $2,625,000
Waddell & Reed, Inc. Macquarie investor protection violation 2005 MT-SEC $25,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2006 MT-SEC $345,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)