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 Type Year Agencysort icon Penalty Amount
Credit Suisse Securities (USA) LLC Credit Suisse data submission deficiencies 2015 SEC $4,250,000
Citigroup Global Markets Citigroup investor protection violation 2015 SEC $15,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC Citigroup investor protection violation 2015 SEC $180,000,000
Edward D. Jones & Co. LP Jones Financial investor protection violation 2015 SEC $20,000,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2015 SEC $7,000,000
Merrill Lynch Bank of America investor protection violation 2015 SEC $10,900,000
Deutsche Bank AG Deutsche Bank investor protection violation 2015 SEC $55,000,000
BlackRock Advisors LLC BlackRock investor protection violation 2015 SEC $12,000,000
UBS Securities LLC UBS investor protection violation 2015 SEC $14,400,000
Morgan Stanley & Co. LLC Morgan Stanley investor protection violation 2014 SEC $4,000,000
HSBC Private Bank (Suisse) HSBC investor protection violation 2014 SEC $12,500,000
Bank of America Corporation Bank of America investor protection violation 2014 SEC $7,650,000
Barclays Capital Inc. Barclays investor protection violation 2014 SEC $15,000,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2014 SEC $5,000,000
Morgan Stanley Morgan Stanley toxic securities abuses 2014 SEC $275,000,000
Credit Suisse Group AG Credit Suisse investor protection violation 2014 SEC $196,000,000
Merrill Lynch Bank of America toxic securities abuses 2013 SEC $131,800,000
Fifth Third Bancorp Fifth Third Bancorp accounting fraud or deficiencies 2013 SEC $6,500,000
RBS Securities Inc. NatWest Group PLC toxic securities abuses 2013 SEC $153,700,000
JPMorgan & Co. JPMorgan Chase accounting fraud or deficiencies 2013 SEC $200,000,000
UBS Securities UBS toxic securities abuses 2013 SEC $50,000,000
Capital One Financial Corporation Capital One Financial accounting fraud or deficiencies 2013 SEC $3,500,000
J.P. Morgan Securities LLC JPMorgan Chase toxic securities abuses 2012 SEC $296,900,000
Credit Suisse Securities (USA) Credit Suisse toxic securities abuses 2012 SEC $120,000,000
Massachusetts Mutual Life Insurance Company Massachusetts Mutual Life Insurance investor protection violation 2012 SEC $1,625,000
Goldman Sachs & Co. Goldman Sachs illicit political contributions 2012 SEC $12,000,000
Wells Fargo Wells Fargo toxic securities abuses 2012 SEC $6,500,000
Mizuho Financial Group Mizuho Financial investor protection violation 2012 SEC $127,500,000
OppenheimerFunds Inc. Invesco investor protection violation 2012 SEC $35,000,000
UBS Financial Services Inc. of Puerto Rico UBS investor protection violation 2012 SEC $26,600,000
Option One Mortgage Corporation Ocwen Financial toxic securities abuses 2012 SEC $28,200,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2012 SEC $22,000,000
UBS Global Asset Management UBS investor protection violation 2012 SEC $300,000
Morgan Stanley Investment Management Morgan Stanley investor protection violation 2011 SEC $3,300,000
UBS Securities LLC UBS investor protection violation 2011 SEC $8,000,000
Citigroup Citigroup toxic securities abuses 2011 SEC $285,000,000
RBC Capital Markets LLC Royal Bank of Canada investor protection violation 2011 SEC $30,400,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2011 SEC $850,000
Morgan Keegan & Company Raymond James Financial toxic securities abuses 2011 SEC $200,000,000
J.P. Morgan Securities LLC JPMorgan Chase toxic securities abuses 2011 SEC $153,600,000
Wells Fargo Securities LLC Wells Fargo toxic securities abuses 2011 SEC $11,000,000
TD Ameritrade Inc. Charles Schwab Corp. investor protection violation 2011 SEC $10,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2011 SEC $118,000,000
Citigroup Inc. Citigroup toxic securities abuses 2010 SEC $75,000,000
Goldman Sachs & Co. Goldman Sachs toxic securities abuses 2010 SEC $550,000,000
Bank of America Bank of America investor protection violation 2010 SEC $150,000,000
BNY Mellon Bank of New York Mellon Foreign Corrupt Practices Act 2015 SEC $14,800,000
Allianz SE Allianz Foreign Corrupt Practices Act 2012 SEC $12,396,423
Aon Corporation Aon Foreign Corrupt Practices Act 2011 SEC $14,545,020
State Street Bank and Trust Company State Street Corp. investor protection violation 2016 SEC $382,400,000
Citigroup Global Markets Citigroup data submission deficiencies 2016 SEC $7,000,000
Merrill Lynch Bank of America investor protection violation 2016 SEC $10,000,000
Merrill Lynch Bank of America investor protection violation 2016 SEC $415,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2016 SEC $1,000,000
INTL FCStone StoneX Group accounting fraud or deficiencies 2016 SEC $150,000
KeyBanc Capital Markets Inc. KeyCorp accounting fraud or deficiencies 2016 SEC $175,000
Ocwen Financial Corp. Ocwen Financial accounting fraud or deficiencies 2016 SEC $2,000,000
State Street Bank and Trust Company State Street Corp. illicit political contributions 2016 SEC $12,000,000
J.P. Morgan Investment Management Inc. JPMorgan Chase investor protection violation 2015 SEC $1,084,210
Omega Advisors, Inc. Omega Advisors investor protection violation 2015 SEC $134,026
Guggenheim Partners Investment Management LLC Guggenheim Partners investor protection violation 2015 SEC $20,000,000
OZ Management LP Sculptor Capital Management data submission deficiencies 2015 SEC $4,250,000
BMO Capital Markets GKST Inc. Piper Sandler investor protection violation 2015 SEC $250,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon investor protection violation 2015 SEC $120,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2015 SEC $500,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2015 SEC $500,000
Hutchinson, Shockey, Erley & Co. Huntington Bancshares investor protection violation 2015 SEC $220,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2015 SEC $500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2015 SEC $500,000
Morgan Stanley & Co. LLC Morgan Stanley investor protection violation 2015 SEC $500,000
The Northern Trust Company Northern Trust investor protection violation 2015 SEC $60,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2015 SEC $400,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2015 SEC $500,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2015 SEC $500,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2015 SEC $500,000
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2015 SEC $500,000
First Bancorp First Bancorp (North Carolina) accounting fraud or deficiencies 2015 SEC $275,000
Nationwide Life Insurance Company Nationwide investor protection violation 2015 SEC $8,000,000
Macquarie Capital (USA) Inc. Macquarie investor protection violation 2015 SEC $15,000,000
Hampton Roads Bankshares Atlantic Union Bankshares accounting fraud or deficiencies 2014 SEC $200,000
Wedbush Securities Wedbush Securities investor protection violation 2014 SEC $2,440,000
Charles Schwab & Co. Charles Schwab Corp. investor protection violation 2014 SEC $61,800
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2014 SEC $56,000
Investment Professionals Inc. Ameriprise Financial investor protection violation 2014 SEC $67,800
J.P. Morgan Securities JPMorgan Chase investor protection violation 2014 SEC $54,000
Oppenheimer & Co. Oppenheimer Holdings investor protection violation 2014 SEC $61,200
Stifel Nicolaus & Co. Stifel Financial investor protection violation 2014 SEC $60,000
TD Ameritrade Charles Schwab Corp. investor protection violation 2014 SEC $100,800
UBS Financial Services UBS investor protection violation 2014 SEC $56,400
Wedbush Securities Inc. Wedbush Securities investor protection violation 2014 SEC $67,200
E*TRADE Securities Morgan Stanley investor protection violation 2014 SEC $2,500,000
BlackRock Institutional Trust Company BlackRock investor protection violation 2014 SEC $1,675,350
Wilmington Trust M&T Bank accounting fraud or deficiencies 2014 SEC $18,500,000
LavaFlow Inc. Citigroup investor protection violation 2014 SEC $5,000,000
New York Stock Exchange IntercontinentalExchange Group investor protection violation 2014 SEC $4,500,000
Transamerica Financial Advisors Aegon investor protection violation 2014 SEC $1,107,248
Scottrade Charles Schwab Corp. data submission deficiencies 2014 SEC $2,500,000
Western Asset Management Company Franklin Resources investor protection violation 2014 SEC $19,400,000
ConvergEx Group Cowen Inc. investor protection violation 2013 SEC $107,424,429
TD Bank Toronto-Dominion Bank investor protection violation 2013 SEC $15,000,000
Claritas Investments Ltd. Principal Financial investor protection violation 2013 SEC $144,819
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)