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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
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation Lincoln National investor protection violation 2011 FINRA $600,000
Charles Schwab & Company, Inc. Charles Schwab Corp. investor protection violation 2011 FINRA $18,000,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2010 FINRA $650,000
Ferris, Baker Watts LLC Royal Bank of Canada investor protection violation 2010 FINRA $690,000
Zions Direct, Inc. Zions Bancorporation investor protection violation 2010 FINRA $225,000
HSBC Securities (USA) Inc. HSBC investor protection violation 2010 FINRA $375,000
Merrill Lynch Bank of America investor protection violation 2010 FINRA $2,500,000
Morgan Stanley & Co., Inc. Morgan Stanley investor protection violation 2010 FINRA $800,000
SunTrust Investment Services, Inc. Truist Financial investor protection violation 2010 FINRA $1,440,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2010 FINRA $7,500,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2010 FINRA $1,500,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2010 FINRA $700,000
Deutsche Bank Securities Deutsche Bank investor protection violation 2010 FINRA $575,000
RBC Capital Markets Corporation Royal Bank of Canada investor protection violation 2010 FINRA $135,000
HSBC Securities (USA) HSBC investor protection violation 2010 FINRA $1,500,000
US Bancorp Investments, Inc. U.S. Bancorp investor protection violation 2010 FINRA $275,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2010 FINRA $650,000
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2010 FINRA $200,000
H&R Block Financial Advisors, Inc. H&R Block investor protection violation 2010 FINRA $200,000
MetLife Securities, Inc. MetLife investor protection violation 2009 FINRA $1,200,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2009 FINRA $600,000
Citigroup Global Markets Citigroup investor protection violation 2009 FINRA $425,000
UBS Securities UBS investor protection violation 2009 FINRA $268,000
Deutsche Bank Deutsche Bank investor protection violation 2009 FINRA $152,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual investor protection violation 2009 FINRA $200,000
Fifth Third Securities, Inc. Fifth Third Bancorp investor protection violation 2009 FINRA $150,000
Credit Suisse Securities (USA), LLC Credit Suisse investor protection violation 2009 FINRA $275,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2009 FINRA $100,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2009 FINRA $150,000
UBS Financial Services, Inc. UBS investor protection violation 2009 FINRA $100,000
KeyBanc Capital Markets, Inc. KeyCorp investor protection violation 2009 FINRA $425,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2009 FINRA $275,000
PNC Investments PNC Financial Services investor protection violation 2009 FINRA $250,000
Chase Investment Services Corp. JPMorgan Chase investor protection violation 2009 FINRA $250,000
NEXT Financial Group, Inc. Atria Wealth Solutions investor protection violation 2009 FINRA $1,000,000
ICAP Corporates LLC TP ICAP PLC investor protection violation 2009 FINRA $2,800,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2009 FINRA $1,400,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2009 FINRA $1,000,000
RBC Capital Markets Corporation Royal Bank of Canada investor protection violation 2009 FINRA $400,000
M&T Securities, Inc. M&T Bank investor protection violation 2009 FINRA $200,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2009 FINRA $200,000
Fifth Third Securities, Inc. Fifth Third Bancorp investor protection violation 2009 FINRA $1,750,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2009 FINRA $900,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2009 FINRA $7,200,000
Wachovia Securities, LLC and First Clearing, LLC Wells Fargo investor protection violation 2009 FINRA $1,100,000
New England Securities MetLife investor protection violation 2009 FINRA $500,000
SunAmerica Securities, Inc. American International Group investor protection violation 2009 FINRA $300,000
Chase Investment Services Corp. JPMorgan Chase investor protection violation 2009 FINRA $32,500
ProEquities, Inc. Dai-ichi Life investor protection violation 2009 FINRA $25,000
Citigroup Global Markets Citigroup investor protection violation 2009 FINRA $2,000,000
Wachovia Securities Wells Fargo investor protection violation 2009 FINRA $4,500,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2008 FINRA $300,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon investor protection violation 2008 FINRA $250,000
SunTrust Investment Services, Inc. Truist Financial investor protection violation 2008 FINRA $700,000
SunTrust Robinson Humphrey, Inc. Truist Financial investor protection violation 2008 FINRA $1,650,000
Comerica Securities, Inc. Comerica investor protection violation 2008 FINRA $750,000
SunTrust Investment Services, Inc. Truist Financial investor protection violation 2008 FINRA $300,000
Prudential Securities Wells Fargo investor protection violation 2008 FINRA $1,050,000
UBS Financial Services, Inc. UBS investor protection violation 2008 FINRA $1,000,000
Pruco Securities Prudential Financial investor protection violation 2008 FINRA $100,000
Merrill Lynch Bank of America investor protection violation 2008 FINRA $250,000
Oppenheimer & Co. Oppenheimer Holdings investor protection violation 2008 FINRA $4,500,000
Banc One Securities Corporation JPMorgan Chase investor protection violation 2008 FINRA $225,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce investor protection violation 2008 FINRA $200,000
Lehman Brothers, Inc. Lehman Brothers investor protection violation 2008 FINRA $200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2008 FINRA $200,000
Thomas Weisel Partners, LLC Stifel Financial investor protection violation 2008 FINRA $200,000
UBS Securities, LLC UBS investor protection violation 2008 FINRA $200,000
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2008 FINRA $150,000
BMO Capital Markets Corp. Bank of Montreal investor protection violation 2008 FINRA $150,000
Deutsche Bank Securities, Inc., Deutsche Bank investor protection violation 2008 FINRA $150,000
RBC Capital Markets Corp. Royal Bank of Canada investor protection violation 2008 FINRA $150,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. investor protection violation 2008 FINRA $50,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2008 FINRA $100,000
J.P. Morgan Securities, Inc. JPMorgan Chase investor protection violation 2007 FINRA $500,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2007 FINRA $300,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2007 FINRA $1,000,000
UBS Financial Services, Inc. UBS investor protection violation 2007 FINRA $370,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2007 FINRA $12,500,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2007 FINRA $2,600,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2007 FINRA $6,100,000
MML Investors Services, Inc. Massachusetts Mutual Life Insurance investor protection violation 2007 FINRA $473,000
NYLIFE Securities LLC New York Life Insurance investor protection violation 2007 FINRA $354,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual investor protection violation 2007 FINRA $100,000
Wells Fargo Securities, LLC Wells Fargo investor protection violation 2007 FINRA $250,000
Wachovia Securities LLC Wells Fargo investor protection violation 2007 FINRA $2,000,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2007 FINRA $15,200,000
HSBC Brokerage HSBC investor protection violation 2007 FINRA $250,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation Fidelity Investments investor protection violation 2007 FINRA $400,000
Raymond James Financial Services Inc. Raymond James Financial investor protection violation 2007 FINRA $2,750,000
Putnam Retail Management Limited Partnership Power Financial Corporation investor protection violation 2007 FINRA $175,000
AllianceBernstein Investments, Inc. Equitable Holdings investor protection violation 2007 FINRA $100,000
Fidelity Distributors Corp. et al. Fidelity Investments investor protection violation 2007 FINRA $3,750,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. investor protection violation 2006 FINRA $4,000,000
USAllianz Securities Allianz investor protection violation 2006 FINRA $5,000,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2006 FINRA $250,000
RBC Dain Rauscher Inc. Royal Bank of Canada investor protection violation 2006 FINRA $250,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2006 FINRA $100,000
Chase Investment Services Corporation JPMorgan Chase investor protection violation 2006 FINRA $500,000
MetLife Securities, Inc MetLife investor protection violation 2006 FINRA $500,000
CCO Investment Services Corp. NatWest Group PLC investor protection violation 2006 FINRA $850,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)