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
CCO Investment Services Corp. NatWest Group PLC investor protection violation 2006 FINRA $850,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2006 FINRA $800,000
MetLife, Inc. MetLife investor protection violation 2006 FINRA $5,000,000
Morgan Stanley Morgan Stanley investor protection violation 2006 FINRA $2,900,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2006 FINRA $1,115,000
ING America Insurance Holdings Inc. Voya Financial investor protection violation 2006 FINRA $7,000,000
BRUT LLC Nasdaq Inc. investor protection violation 2006 FINRA $2,200,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2006 FINRA $350,000
Credit Suisse Securities (USA), LLC Credit Suisse investor protection violation 2006 FINRA $225,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2006 FINRA $200,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2006 FINRA $5,000,000
Sanford C. Bernstein & Co. Equitable Holdings investor protection violation 2006 FINRA $350,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2006 FINRA $250,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2005 FINRA $14,000,000
Wells Fargo Investments Wells Fargo investor protection violation 2005 FINRA $3,000,000
Chase Investment Services JPMorgan Chase investor protection violation 2005 FINRA $290,262
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2005 FINRA $12,300,000
State Street Global Markets LLC State Street Corp. investor protection violation 2005 FINRA $1,400,000
SG Americas Securities, LLC Societe Generale investor protection violation 2005 FINRA $4,478,000
RBC Capital Markets Corporation Royal Bank of Canada investor protection violation 2005 FINRA $2,108,000
RBC Dain Rauscher, Inc. Royal Bank of Canada investor protection violation 2005 FINRA $1,158,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2005 FINRA $1,250,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2005 FINRA $2,200,000
Lincoln Financial Advisors Corporation Lincoln National investor protection violation 2005 FINRA $950,000
Investment Centers of America, Inc. LPL Financial investor protection violation 2005 FINRA $363,500
ING Funds Distributor Voya Financial investor protection violation 2005 FINRA $1,500,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2005 FINRA $300,000
Morgan Stanley DW, Inc. Morgan Stanley investor protection violation 2005 FINRA $6,100,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2005 FINRA $280,000
ABN AMRO Incorporated ABN AMRO investor protection violation 2005 FINRA $220,000
J.P. Morgan Securities, Inc. JPMorgan Chase investor protection violation 2005 FINRA $160,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2005 FINRA $140,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2005 FINRA $90,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2005 FINRA $90,000
Chase Investment Services Corp. JPMorgan Chase investor protection violation 2005 FINRA $60,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2005 FINRA $60,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce investor protection violation 2005 FINRA $40,000
UBS International Inc. UBS investor protection violation 2005 FINRA $10,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2005 FINRA $2,650,000
J.P. Morgan Securities, Inc. JPMorgan Chase investor protection violation 2005 FINRA $150,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2005 FINRA $125,000
AllianceBernstein Investment Research and Management, Inc. Equitable Holdings investor protection violation 2005 FINRA $3,984,087
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2005 FINRA $2,970,000
SunAmerica Securities, Inc. American International Group investor protection violation 2005 FINRA $2,500,000
RBC Dain Rauscher, Inc. Royal Bank of Canada investor protection violation 2005 FINRA $1,700,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2005 FINRA $900,000
SunTrust Capital Markets, Inc. Truist Financial investor protection violation 2005 FINRA $100,000
Waddell & Reed, Inc. Macquarie investor protection violation 2005 FINRA (*) $16,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2005 FINRA $888,000
Thomas Weisel Partners Stifel Financial investor protection violation 2005 FINRA $1,750,000
Jefferson Pilot Variable Corporation Lincoln National investor protection violation 2005 FINRA $688,697
Citigroup Global Markets, Inc. Citigroup investor protection violation 2005 FINRA $6,250,000
American Express Financial Advisors Ameriprise Financial investor protection violation 2005 FINRA $13,000,000
Chase Investment Services JPMorgan Chase investor protection violation 2005 FINRA $2,000,000
Spear, Leeds & Kellogg, L.P Goldman Sachs investor protection violation 2005 FINRA $1,000,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2005 FINRA $275,000
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2005 FINRA $250,000
Banc One Securities Corporation JPMorgan Chase investor protection violation 2005 FINRA $400,000
H&R Block Financial Advisors, Inc. H&R Block investor protection violation 2004 FINRA $825,000
Knight Securities, L.P. Virtu Financial investor protection violation 2004 FINRA $12,500,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2004 FINRA $275,000
Morgan Stanley DW Inc Morgan Stanley investor protection violation 2004 FINRA $336,510
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2004 FINRA $1,600,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2004 FINRA $700,000
Wachovia Securities LLC Wells Fargo investor protection violation 2004 FINRA $650,000
Prudential Equity Group LLC Prudential Financial investor protection violation 2004 FINRA $550,000
Raymond James Financial Services Inc. Raymond James Financial investor protection violation 2004 FINRA $400,000
Metropolitan Life Insurance Co. MetLife investor protection violation 2004 FINRA $375,000
NYLife Securities, Inc. New York Life Insurance investor protection violation 2004 FINRA $350,000
Edward Jones & Co., LP Jones Financial investor protection violation 2004 FINRA $300,000
Chase Investment Services Corp. JPMorgan Chase investor protection violation 2004 FINRA $250,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2004 FINRA $250,000
MML Investor Services, Inc. Massachusetts Mutual Life Insurance investor protection violation 2004 FINRA $250,000
Banc of America Investment Services Inc. Bank of America investor protection violation 2004 FINRA $200,000
ING Financial Partners, Inc. Voya Financial investor protection violation 2004 FINRA $200,000
New England Securities MetLife investor protection violation 2004 FINRA $200,000
Allstate Financial Services LLC Allstate investor protection violation 2004 FINRA $150,000
RBC Dain Rauscher, Inc. Royal Bank of Canada investor protection violation 2004 FINRA $150,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2004 FINRA $150,000
World Group Securities, Inc. Aegon investor protection violation 2004 FINRA $150,000
Jefferson Pilot Securities Corporation Lincoln National investor protection violation 2004 FINRA $125,000
SunAmerica Securities, Inc. American International Group investor protection violation 2004 FINRA $100,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2004 FINRA $250,000
Credit Suisse First Boston, L.L.C. Credit Suisse investor protection violation 2004 FINRA $50,000
Deutsche Bank Securities, Inc. Deutsche Bank investor protection violation 2004 FINRA $15,000
Schwab Capital Markets, L.P. Charles Schwab Corp. investor protection violation 2004 FINRA $70,000
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2004 FINRA $16,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs investor protection violation 2004 FINRA $75,000
UBS Securities, L.L.C. UBS investor protection violation 2004 FINRA $10,000
SG Cowen, LLC Cowen Inc. investor protection violation 2004 FINRA $800,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2004 FINRA $2,200,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2004 FINRA $5,000,000
Deutsche Bank Securities, Inc. Deutsche Bank investor protection violation 2004 FINRA $5,000,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2004 FINRA $5,000,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2004 FINRA $250,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2004 FINRA $250,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2004 FINRA $250,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2004 FINRA $2,400,000
Charles Schwab & Co, Inc. Charles Schwab Corp. investor protection violation 2004 FINRA $60,869
Edward Jones Jones Financial investor protection violation 2004 FINRA $25,181
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2004 FINRA $109,527
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)