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
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2008 TX-SEC $5,000
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2008 TX-SEC $400,000
LPL Financial Corporation LPL Financial investor protection violation 2008 TX-SEC $5,000
Securian Financial Services Inc. Securian Financial investor protection violation 2009 TX-SEC $50,000
UBS Securities LLC UBS investor protection violation 2010 TX-SEC $6,640,432
Citigroup Global Markets Inc. Citigroup investor protection violation 2010 TX-SEC $130,000
Lincoln Financial Securities Corporation Lincoln National investor protection violation 2010 TX-SEC $40,000
BNY Mellon Capital Markets LLC Bank of New York Mellon investor protection violation 2011 TX-SEC $500,000
TD Ameritrade Inc. Charles Schwab Corp. investor protection violation 2015 TX-SEC $400,000
LPL Financial LLC LPL Financial investor protection violation 2016 TX-SEC $95,000
Scottrade Inc. Charles Schwab Corp. investor protection violation 2016 TX-SEC $100,000
Charles Schwab & Co. Inc. Charles Schwab Corp. investor protection violation 2016 TX-SEC $125,000
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2020 TX-SEC $600,000
LendingClub Corporation LendingClub Corp. investor protection violation 2020 TX-SEC $400,000
JEFFERSON PILOT SECURITIES Lincoln National investor protection violation 2003 VA-SEC $26,500
MERRILL LYNCH PIERCE FENNER & Bank of America investor protection violation 2004 VA-SEC $268,723
CITIGROUP GLOBAL MARKETS INC Citigroup investor protection violation 2004 VA-SEC $72,486
SUNAMERICA SECURITIES, INC. American International Group investor protection violation 2006 VA-SEC $10,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America investor protection violation 2006 VA-SEC $75,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America investor protection violation 2006 VA-SEC $33,000
UBS FINANCIAL SERVICES, INC. UBS investor protection violation 2007 VA-SEC $100,000
AMERIPRISE FINANCIAL SERVICES Ameriprise Financial investor protection violation 2008 VA-SEC $780,000
CITIGROUP GLOBAL MARKETS Citigroup investor protection violation 2008 VA-SEC $22,000
UBS FINANCIAL SERVICES, INC. UBS investor protection violation 2010 VA-SEC $625,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2014 VA-SEC $9,500
WELLS FARGO ADVISORS Wells Fargo investor protection violation 2015 VA-SEC $205,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions investor protection violation 2015 VA-SEC $18,000
AMERIPRISE FINANCIAL SERVICES, INC. Ameriprise Financial investor protection violation 2016 VA-SEC $14,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2016 VA-SEC $11,500
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions investor protection violation 2017 VA-SEC $60,000
LINCOLN FINANCIAL SECURITIES Lincoln National investor protection violation 2018 VA-SEC $20,000
UBS Financial Services Inc. UBS investor protection violation 2019 VA-SEC $288,970
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 VA-SEC $10,000
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2020 VA-SEC $5,000
Lincoln Financial Securities Corporation Lincoln National investor protection violation 2010 VT-FIN $10,000
UBS Financial Services Inc. UBS investor protection violation 2014 VT-FIN $325,000
Raymond James and Associates Inc. Raymond James Financial investor protection violation 2016 VT-FIN $4,200,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2016 VT-FIN $300,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2018 VT-FIN $120,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 VT-FIN $6,900
Merrill Lynch Bank of America investor protection violation 2020 VT-FIN $125,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 WA-FIN $33,753
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2016 WA-FIN $55,000
OppenheimerFunds Distributor, Inc. Invesco investor protection violation 2007 WA-FIN $669,500
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2004 WA-FIN $325,000
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2007 WI-FIN $50,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America investor protection violation 2005 WI-FIN $7,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2009 MULTI-FIN $720,000
Amerisave Mortgage Corporation AmeriSave Mortgage investor protection violation 2013 MULTI-FIN $2,300,000
AmSouth Investment Services Inc. Regions Financial investor protection violation 2004 MULTI-FIN $225,000
Bank of America Bank of America investor protection violation 2008 MULTI-FIN (*) $50,000,000
Bankers Life and Casualty Company and BLC Financial Services, Inc. CNO Financial investor protection violation 2012 MULTI-FIN $10,641,000
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2003 MULTI-FIN (*) $25,000,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2010 MULTI-FIN (*) $100,000,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2003 MULTI-FIN (*) $150,000,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2015 MULTI-FIN $1,965,000
Credit Suisse First Boston LLC Credit Suisse investor protection violation 2003 MULTI-FIN (*) $75,000,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2008 MULTI-FIN $15,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2008 MULTI-FIN (*) $15,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2005 MULTI-FIN (*) $28,750,000
E*TRADE Securities LLC Morgan Stanley investor protection violation 2011 MULTI-FIN $5,000,000
Goldman Sachs Goldman Sachs investor protection violation 2008 MULTI-FIN (*) $22,500,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2003 MULTI-FIN (*) $25,000,000
J.P. Morgan Securities JPMorgan Chase investor protection violation 2014 MULTI-FIN $2,800,000
J.P. Morgan Securities Inc. JPMorgan Chase investor protection violation 2003 MULTI-FIN (*) $25,000,000
JPMorgan Chase & Co. JPMorgan Chase investor protection violation 2008 MULTI-FIN (*) $25,000,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2003 MULTI-FIN (*) $25,000,000
LPL Financial LLC LPL Financial investor protection violation 2015 MULTI-FIN $1,425,000
LPL Financial LLC LPL Financial investor protection violation 2018 MULTI-FIN $26,000,000
Merrill Lynch Bank of America investor protection violation 2010 MULTI-FIN $26,563,094
Merrill Lynch Bank of America investor protection violation 2008 MULTI-FIN (*) $125,000,000
Morgan Stanley Morgan Stanley investor protection violation 2008 MULTI-FIN (*) $35,000,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2009 MULTI-FIN $8,500,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2003 MULTI-FIN (*) $25,000,000
New Day Financial, LLC d/b/a NewDay USA New Day Financial LLC investor protection violation 2015 MULTI-FIN $5,160,000
ProEquities, Inc Dai-ichi Life investor protection violation 2012 MULTI-FIN $435,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2008 MULTI-FIN $1,000,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2011 MULTI-FIN $1,750,000
RBC Capital Markets Corporation Royal Bank of Canada investor protection violation 2008 MULTI-FIN (*) $9,800,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2014 MULTI-FIN $2,800,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2009 MULTI-FIN $525,000
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2005 MULTI-FIN (*) $5,000,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2003 MULTI-FIN (*) $12,500,000
UBS Financial Services Inc. UBS investor protection violation 2013 MULTI-FIN $4,600,000
UBS Securities LLC and UBS Financial Services Inc. UBS investor protection violation 2008 MULTI-FIN (*) $150,000,000
UBS Warburg and UBS PaineWebber UBS investor protection violation 2003 MULTI-FIN (*) $25,000,000
UVEST Financial Services Group, Inc. LPL Financial investor protection violation 2013 MULTI-FIN $750,000
Wachovia Capital Markets LLC Wells Fargo investor protection violation 2007 MULTI-FIN $24,650,000
Wachovia Securities LLC Wells Fargo investor protection violation 2008 MULTI-FIN (*) $50,000,000
Waddell & Reed, Inc. Macquarie investor protection violation 2005 MULTI-FIN $18,000,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2009 MULTI-FIN $1,900,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $50,000,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $77,400,000
Deutsche Bank AG Deutsche Bank investor protection violation 2020 CFTC $9,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2020 CFTC $1,250,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2020 CT-SEC $400,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 FL-OFR $79,045
Wells Fargo & Co. Wells Fargo investor protection violation 2020 MD-AG $20,000,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 PA-BKG $52,372
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 SD-SEC $5,750
Northern Trust Hedge Fund Services LLC Northern Trust investor protection violation 2020 SEC $167,629
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)