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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
SunTrust BanksTruist Financialinvestor protection violation2017SEC$1,100,000
BlackRock Inc.BlackRockinvestor protection violation2017SEC$340,000
Bank of AmericaBank of Americainvestor protection violation2017USAO$2,500,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2018SEC$1,304,197
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2018SEC$1,250,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2017SEC$8,750,000
UBS Financial Services, Inc.UBSinvestor protection violation2017SEC$3,500,000
Barclays Capital Inc.Barclaysinvestor protection violation2017SEC$12,710,040
Blackrock Fund AdvisorsBlackRockinvestor protection violation2017SEC$1,500,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2017SEC$5,754,714
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2017SEC$300,000
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2017SEC$3,095,953
Columbia Management Investment Services Corp.Ameriprise Financialinvestor protection violation2017SEC$250,000
BB&T Securities, LLCTruist Financialinvestor protection violation2016SEC$200,000
WL Ross & Co. LLCInvescoinvestor protection violation2016SEC$2,300,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargoinvestor protection violation2016SEC$440,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupinvestor protection violation2016SEC$20,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2016SEC$500,000
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2016SEC$360,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2016SEC$500,000
Keybanc Capital Markets Inc.KeyCorpinvestor protection violation2016SEC$440,000
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$500,000
SG Americas Securities LLCSociete Generaleinvestor protection violation2015SEC$1,011,093
KCG Americas LLCVirtu Financialinvestor protection violation2015SEC$1,055,197
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2015SEC$100,000
Comerica Securities, Inc.Comericainvestor protection violation2015SEC$60,000
BB&T Securities, LLCTruist Financialinvestor protection violation2015SEC$200,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015SEC$200,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2015SEC$20,000
U.S. Bank Municipal Securities GroupU.S. Bancorpinvestor protection violation2015SEC$60,000
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.investor protection violation2015SEC$420,000
UBS Financial Services Inc.UBSinvestor protection violation2015SEC$480,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2015SEC$500,000
Macquarie Capital Investment Management LLC, et alMacquarieinvestor protection violation2015SEC$120,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2018CFTC$1,600,000
UBS AGUBSinvestor protection violation2018CFTC$15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018CFTC$30,000,000
Voya Holdings Inc.Voya Financialinvestor protection violation2018SEC$3,600,000
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americainvestor protection violation2018SEC$1,404,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2018SEC$14,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018SEC$4,450,000
Ameriprise Financial ServicesAmeriprise Financialinvestor protection violation2018SEC$230,000
PNC Investments LLCPNC Financial Servicesinvestor protection violation2018SEC$7,307,770
Brown Brothers Harriman & Co.Brown Brothers Harrimaninvestor protection violation2014SEC$120,000
Royal Bank of Scotland Group plcNatWest Group PLCinvestor protection violation2014SEC$120,000
Bank of America CorporationBank of Americainvestor protection violation2014SEC$20,000,000
Goldman Sachs Group, Inc.Goldman Sachsinvestor protection violation2018FED$54,750,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2013SEC$300,000
Knight Capital Americas LLCVirtu Financialinvestor protection violation2013SEC$12,000,000
ABN AMRO Bank, N.V.ABN AMROinvestor protection violation2013SEC$5,547,408
UBS O'Connor, LLCUBSinvestor protection violation2013SEC$5,297,716
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.investor protection violation2013SEC$10,000,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsinvestor protection violation2013SEC$2,886,677
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2012SEC$100,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSinvestor protection violation2011SEC$2,500,000
BNY Mellon Securities LLCBank of New York Melloninvestor protection violation2011SEC$24,045,447
World Group Securities, Inc.Aegoninvestor protection violation2010SEC$200,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsinvestor protection violation2010SEC$225,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2010SEC$470,147
AEGON USA Investment Management LLC et al.Aegoninvestor protection violation2018SEC$97,600,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2018SEC$8,900,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SEC$4,500,000
Mizuho Securities USA LLCMizuho Financialinvestor protection violation2018SEC$1,250,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018SEC$73,200,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2018SEC$3,600,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2018SEC$5,108,441
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2018SEC$42,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2018SEC$15,700,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2018SEC$860,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2018SEC$2,800,000
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americainvestor protection violation2018SEC$8,872,723
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2018SEC$1,250,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2009SEC$150,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2009SEC$50,000
New York Life Investment Management LLCNew York Life Insuranceinvestor protection violation2009SEC$6,100,784
American Skandia Investment Services, Inc.Prudential Financialinvestor protection violation2009SEC$68,000,000
TD Options LLCToronto-Dominion Bankinvestor protection violation2009SEC$1,000,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsinvestor protection violation2009SEC$7,200,000
Knight Financial Products, LLCVirtu Financialinvestor protection violation2009SEC$2,040,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2009SEC$125,000
Oppenheimer & Co. IncOppenheimer Holdingsinvestor protection violation2009SEC$850,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2009SEC$8,384,932
Ferris, Baker Watts, Inc.Royal Bank of Canadainvestor protection violation2009SEC$800,656
Gabelli Funds, LLCGamco Investors Inc.investor protection violation2009SEC$450,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2018SEC$1,900,000
Commerzbank AGCommerzbankinvestor protection violation2018CFTC$12,000,000
Bank of Nova ScotiaScotiabankinvestor protection violation2018CFTC$800,000
Mizuho Bank, Ltd.Mizuho Financialinvestor protection violation2018CFTC$250,000
NatWest Markets PlcNatWest Group PLCinvestor protection violation2018CFTC$750,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2018CFTC$160,000
Citibank N.A.Citigroupinvestor protection violation2018SEC$38,700,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2018SEC$5,000,000
LendingClub Asset Management LLCLendingClub Corp.investor protection violation2018SEC$5,000,000
Voya Financial Advisors Inc.Voya Financialinvestor protection violation2018SEC$1,000,000
SG Americas Securities LLC (Societe Generale)Societe Generaleinvestor protection violation2018SEC$800,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2018SEC$12,937,475
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2018SEC$513,194
Putnam Investment Management, LLCFranklin Resourcesinvestor protection violation2018SEC$1,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2018SEC$500,000
Heartland Payment Systems, LLCGlobal Payments Inc.investor protection violation2018SEC$2,160,000
BB&T Securities, LLCTruist Financialinvestor protection violation2018SEC$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.