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
Northern Trust Hedge Fund Services LLC Northern Trust investor protection violation 2020 SEC $167,629
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2020 SEC $11,500,000
VALIC Financial Advisors Inc. American International Group investor protection violation 2020 SEC $39,900,000
UBS Financial Services Inc. UBS investor protection violation 2020 SEC $10,000,000
Franklin Advisers and Inc. Franklin Resources investor protection violation 2020 SEC $250,000
Franklin Templeton Investments Corp. Franklin Resources investor protection violation 2020 SEC $75,000
BNP Paribas Securities Corp. BNP Paribas investor protection violation 2020 SEC $250,000
SG Americas Securities LLC Societe Generale investor protection violation 2020 SEC $1,550,000
AmTrust Financial Services Inc. AmTrust Financial Services investor protection violation 2020 SEC $10,300,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TX-SEC $46,073
Morgan Stanley Capital Services LLC Morgan Stanley investor protection violation 2020 CFTC $5,000,000
Gain Capital Group, LLC GAIN Capital Holdings investor protection violation 2020 CFTC $300,000
JPMorgan Chase & Company JPMorgan Chase investor protection violation 2020 CFTC $920,200,000
Citibank N.A. Citigroup investor protection violation 2020 CFTC $4,500,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CO-SEC $69,338
Janney Montgomery Scott, LLC Penn Mutual investor protection violation 2020 CT-BKG $150,000
Schupp & Grochmal, LLC Schupp & Grochmal investor protection violation 2020 CT-BKG $10,510
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 IL-SEC $11,385
Thrivent Investment Management Inc. Thrivent Financial investor protection violation 2020 IL-SEC $400,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 KY-FIN $5,465
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MS-SEC $6,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MT-SEC $14,700
LPL Financial LLC LPL Financial investor protection violation 2020 NH-BSR $976,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 NM-SEC $6,500
Goldman Sachs Group Goldman Sachs investor protection violation 2020 NY-DFS $150,000,000
Ameritas Investment Company LLC Ameritas Mutual Holding Company investor protection violation 2020 PA-BKG $100,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 RI-FIN $6,500
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 SC-SEC $28,007
Morgan Stanley & Co. LLC Morgan Stanley investor protection violation 2020 SEC $5,000,000
Transamerica Asset Management, Inc. Aegon investor protection violation 2020 SEC $5,946,782
BGC Partners, Inc. BGC Partners investor protection violation 2020 SEC $1,400,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2020 SEC $35,000,000
Fulton Financial Corporation Fulton Financial investor protection violation 2020 SEC $1,500,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2020 SEC $600,000
Solium Financial Services Morgan Stanley investor protection violation 2021 DC-DISB $9,879
E*Trade Securities LLC Morgan Stanley investor protection violation 2021 NH-BSR $5,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2020 NH-BSR $26,250,000
Pruco Securities, LLC Prudential Financial investor protection violation 2020 SEC $18,252,341
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2020 SEC $22,919,155
Robinhood Financial LLC Robinhood Markets investor protection violation 2020 SEC $65,000,000
Transamerica Financial Advisors, Inc. Aegon investor protection violation 2020 FINRA $8,800,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2020 FINRA $2,075,000
SG Americas Securities, LLC Societe Generale investor protection violation 2020 FINRA $1,550,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2020 FINRA $7,200,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2020 FINRA $3,650,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2019 FINRA $4,600,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2019 FINRA $280,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2019 FINRA $280,000
LPL Financial LLC LPL Financial investor protection violation 2019 FINRA $280,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2019 FINRA $280,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 FINRA $280,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2019 FINRA $6,500,000
Robinhood Financial, LLC Robinhood Markets investor protection violation 2019 FINRA $1,250,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 FINRA $4,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2019 FINRA $8,000,000
UBS Financial Services Inc. UBS investor protection violation 2019 FINRA $2,000,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2019 FINRA $1,100,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2019 FINRA $1,250,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2019 FINRA $772,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2019 FINRA $2,000,000
LPL Financial, LLC LPL Financial investor protection violation 2018 FINRA $2,750,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2018 FINRA $5,500,000
E-Trade Securities, LLC Morgan Stanley investor protection violation 2008 FINRA $500,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce investor protection violation 2008 FINRA $350,000
Fifth Third Securities, Inc. Fifth Third Bancorp investor protection violation 2018 FINRA $6,000,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2018 FINRA $1,500,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2017 FINRA $11,500,000
J.P. Morgan Securities JPMorgan Chase investor protection violation 2017 FINRA $2,800,000
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2017 FINRA $2,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2017 FINRA $1,400,000
J.P. Morgan Securities, LLC JPMorgan Chase investor protection violation 2017 FINRA $1,250,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2017 FINRA $3,400,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2017 FINRA $13,030,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2017 FINRA $2,500,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2017 FINRA $1,000,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2017 FINRA $800,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2017 FINRA $450,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC Wells Fargo investor protection violation 2016 FINRA $4,000,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. Royal Bank of Canada investor protection violation 2016 FINRA $3,500,000
RBS Securities, Inc. NatWest Group PLC investor protection violation 2016 FINRA $2,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC Wells Fargo investor protection violation 2016 FINRA $1,500,000
SunTrust Robinson Humphrey, Inc. Truist Financial investor protection violation 2016 FINRA $1,500,000
LPL Financial LLC LPL Financial investor protection violation 2016 FINRA $750,000
PNC Capital Markets LLC PNC Financial Services investor protection violation 2016 FINRA $50,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2016 FINRA $3,250,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2016 FINRA $7,030,000
VALIC Financial Advisors, Inc. American International Group investor protection violation 2016 FINRA $1,750,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2016 FINRA $3,425,000
VOYA Financial Advisors Inc. Voya Financial investor protection violation 2016 FINRA $4,550,000
Merrill Lynch, Pierce, Fenner and Smith Inc. Bank of America investor protection violation 2016 FINRA $2,800,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2016 FINRA $850,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2016 FINRA $12,500,000
Barclays Capital Inc. Barclays investor protection violation 2016 FINRA $1,300,000
Prudential Annuities Distributors, Inc. Prudential Financial investor protection violation 2016 FINRA $950,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2016 FINRA $6,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2016 FINRA $5,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2016 FINRA $2,966,000
E-Trade Securities LLC Morgan Stanley investor protection violation 2016 FINRA $900,000
MetLife Securities, Inc. MetLife investor protection violation 2016 FINRA $25,000,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2016 FINRA $675,000
Barclays Capital, Inc. Barclays investor protection violation 2015 FINRA $13,750,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)