Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$20,847,113,321
Number of Records: 
756
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
Morgan Stanley$9,755,070,712124
Ocwen Financial$2,546,423,80428
Rabobank$1,220,536,2598
State Street Corp.$1,098,869,17417
Western Union$802,359,50812
Ally Financial$669,319,62315
ING$619,000,0003
TD Ameritrade$473,210,80010
American Express$359,868,54630
Ameriprise Financial$308,951,27248


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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Company Parent Primary Offense Type Yearsort icon Agency Penalty Amount
Ocwen Loan Servicing LLC Ocwen Financial mortgage abuses 2019 MA-AG $2,000,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2019 SEC $88,780,000
State Street Corp. State Street Corp. consumer protection violation 2019 MA-AG $53,500,000
Morgan Stanley Capital Group Inc. Morgan Stanley investor protection violation 2019 CFTC $1,500,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2019 SEC $1,545,758
Virtu Americas LLC Virtu Financial investor protection violation 2019 SEC $1,500,000
Raymond James & Associates, Inc. et al. Raymond James Financial investor protection violation 2019 SEC $15,000,000
Morgan Stanley Smith Barney, LLC Morgan Stanley investor protection violation 2019 SEC $225,000
Stifel, Nicolaus & Co., Inc. Stifel Financial investor protection violation 2019 SEC $2,700,000
Fidelity Investments Fidelity Investments wage and hour violation 2019 private lawsuit-federal $1,200,000
Edward D. Jones & Co., L.P. Jones Financial benefit plan administrator violation 2019 private lawsuit-federal $3,175,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 AR-SEC $5,000
OneMain Financial Group, LLC OneMain Holdings consumer protection violation 2019 CA-DBO $150,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial investor protection violation 2019 CT-SEC $1,015,000
Lincoln Life & Annuity Company of New York Lincoln National insurance violation 2019 CT-INS $7,500
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 CT-INS $65,000
Western Union International Services LLC Western Union consumer protection violation 2019 FL-OFR $10,000
American Health and Life Insurance Co. OneMain Holdings insurance violation 2019 LA-INS $11,000
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 LA-INS $10,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2019 MA-SEC $382,500
Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 MN-FIN $10,000
Solium Financial Services LLC Morgan Stanley consumer protection violation 2019 NE-DBF $14,000
CashCall, Inc. CashCall Inc. consumer protection violation 2019 NH-BKG $188,880
CashCall Inc. and WS Funding LLC CashCall Inc. consumer protection violation 2019 NH-BKG $188,800
USAA Casualty Insurance Company USAA insurance violation 2019 RI-FIN $8,000
Edward D. Jones & Co. L.P. Jones Financial investor protection violation 2019 SD-INS $10,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 VA-SEC $10,000
Lincoln National Life Insurance Company Lincoln National insurance violation 2019 WA-INS $100,000
Stewart Title Guaranty Company Stewart Information Services insurance violation 2019 WA-INS $10,050
Seterus Inc. Mr. Cooper Group mortgage abuses 2019 MULTI-FIN $350,000
BROADRIDGE FINANCIAL SOLUTIONS, INC. Broadridge Financial Solutions workplace safety or health violation 2019 OSHA $8,335
IMTT-BAYONNE Macquarie workplace safety or health violation 2019 OSHA $121,446
WHEELABRATOR CONCORD INC. Macquarie workplace safety or health violation 2019 OSHA $7,100
WHEELABRATOR NORTH ANDOVER Macquarie workplace safety or health violation 2019 OSHA $7,500
LendingClub Corporation LendingClub Corp. consumer protection violation 2020 MA-AG $1,250,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2020 SEC $5,000,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 AK-DBS $10,527
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 AL-SEC $18,874
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CA-DBO $52,047
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CT-SEC $51,136
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 GA-SEC $22,104
Solium Financial Services, LLC Morgan Stanley investor protection violation 2020 IA-INS $10,147
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 IN-SEC $15,575
Solium Financial Services, LLC Morgan Stanley investor protection violation 2020 ME-SEC $5,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2020 MI-SEC $50,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MO-SEC $9,130
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 NH-BSR $90,000
Lincoln Life & Annuity Company of New York Lincoln National insurance violation 2020 NY-DFS $193,166
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OK-SEC $9,968
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OR-FIN $10,599
USAA Casualty Insurance Company USAA insurance violation 2020 RI-FIN $12,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TN-SEC $12,994
LendingClub Corporation LendingClub Corp. investor protection violation 2020 TX-SEC $400,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 VT-FIN $6,900
Lincoln National Life Insurance Company The Lincoln National insurance violation 2020 WA-INS $8,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 WA-FIN $33,753
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