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
Piper Jaffray & Co. Piper Sandler investor protection violation 2006 MT-SEC $345,000
UBS Financial Services, Inc. UBS investor protection violation 2006 MT-SEC $4,503,166
LPL Financial Corp. LPL Financial investor protection violation 2009 MT-SEC $1,294,416
NEXT Financial Group, Inc. Atria Wealth Solutions investor protection violation 2010 MT-SEC $5,000
Edward Jones Jones Financial investor protection violation 2010 MT-SEC $100,000
LPL Financial LLC LPL Financial investor protection violation 2012 MT-SEC $30,500
Metlife Investors USA Insurance Co MetLife investor protection violation 2012 MT-SEC $5,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2012 MT-SEC $186,439
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2010 NC-SEC $7,800,000
US Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2001 ND-SEC $23,250
Edward D. Jones & Co. LP Jones Financial investor protection violation 2003 ND-SEC $7,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2003 ND-SEC $12,303
Principal Life Insurance Company Principal Financial investor protection violation 2004 ND-SEC $30,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2004 ND-SEC $20,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2004 ND-SEC $20,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2004 ND-SEC $17,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2005 ND-SEC $30,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2006 ND-SEC $17,204
Investment Centers of America Inc. LPL Financial investor protection violation 2006 ND-SEC $6,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2006 ND-SEC $8,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2006 ND-SEC $229,000
Wachovia Securities LLC Wells Fargo investor protection violation 2007 ND-SEC $75,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2002 NE-DBF $5,000
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2003 NE-DBF $20,000
Pruco Securities, LLC Prudential Financial investor protection violation 2006 NE-DBF $12,500
Eaton Vance Income Fund of Boston Morgan Stanley investor protection violation 2006 NE-DBF $17,000
Berthel, Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2007 NE-DBF $5,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2008 NE-DBF $11,000
Cadaret, Grant & Co., Inc. Atria Wealth Solutions investor protection violation 2008 NE-DBF $10,000
Stifel, Nicolaus & Company Inc. Stifel Financial investor protection violation 2014 NE-DBF $61,000
Merrill Lynch Bank of America investor protection violation 2002 NH-BSR $500,000
Morgan Stanley Morgan Stanley investor protection violation 2004 NH-BSR $500,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2005 NH-BSR $435,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2005 NH-BSR $7,375,000
ING Life Insurance and Annuity Company Voya Financial investor protection violation 2006 NH-BSR $3,000,000
CCO Investment Services Corp. NatWest Group PLC investor protection violation 2007 NH-BSR $375,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2008 NH-BSR $3,400,000
UBS Financial Services Inc. UBS investor protection violation 2011 NH-BSR $1,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2012 NH-BSR $155,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2012 NH-BSR $35,000
UBS Financial Services Inc. UBS investor protection violation 2012 NH-BSR $72,500
Edward Jones & Co. LP Jones Financial investor protection violation 2014 NH-BSR $750,000
NEXT Financial Group, Inc Atria Wealth Solutions investor protection violation 2014 NH-BSR $140,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2014 NH-BSR $90,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2015 NH-BSR $35,000
LPL Financial, LLC LPL Financial investor protection violation 2015 NH-BSR $750,000
Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2016 NH-BSR $35,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2016 NH-BSR $30,800
Waddell & Reed, Inc. Macquarie investor protection violation 2016 NH-BSR $900,000
NYLIFE Securities LLC New York Life Insurance investor protection violation 2017 NH-BSR $7,500
State Street Bank and Trust Company State Street Corp. investor protection violation 2018 NH-BSR $325,000
Morgan Stanley Smith Barney, LLC Morgan Stanley investor protection violation 2018 NH-BSR $983,284
Santander Securities, LLC Banco Santander investor protection violation 2018 NH-BSR $31,562
Berthel Fisher & Company Financial Services, Inc Berthel Fisher investor protection violation 2019 NH-BSR $415,407
Santander Securities, LLC Banco Santander investor protection violation 2019 NH-BSR $50,000
NEXT Financial Group, Inc Atria Wealth Solutions investor protection violation 2019 NH-BSR $325,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 NH-BSR $90,000
Smith Barney Morgan Stanley investor protection violation 2007 NJ-BOS $5,000,000
Stifel Nicolaus & Company, Inc. Stifel Financial investor protection violation 2010 NJ-BOS $5,415,381
Pruco Securities, LLC Prudential Financial investor protection violation 2013 NJ-BOS $100,000
Oppenheimer & Co. Oppenheimer Holdings investor protection violation 2015 NM-SEC $215,000
Goldman Sachs Goldman Sachs investor protection violation 2015 NY-DFS $50,000,000
Waddell & Reed Inc. Macquarie investor protection violation 2008 OK-SEC $10,000
CUNA Brokerage Services Inc. CUNA Mutual investor protection violation 2014 OK-SEC $15,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OK-SEC $9,968
Ragen Mackenzie Investment Services LLC Wells Fargo investor protection violation 2004 OR-FIN $8,500
MetLife Securities MetLife investor protection violation 2005 OR-FIN $12,000
Prosper Marketplace Inc. Prosper Marketplace investor protection violation 2009 OR-FIN $15,000
AXA Advisors LLC Equitable Holdings investor protection violation 2011 OR-FIN $80,000
LPL Financial LLC LPL Financial investor protection violation 2011 OR-FIN $100,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OR-FIN $10,599
State Farm VP Management Corp. State Farm Insurance investor protection violation 2013 PA-BKG $75,000
MML Investors Services LLC Massachusetts Mutual Life Insurance investor protection violation 2015 PA-BKG $100,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2016 PA-BKG $10,000
Edward D. Jones & Co. LP Jones Financial investor protection violation 2016 PA-BKG $135,000
Vanguard Advisers Inc. Vanguard Group investor protection violation 2017 PA-BKG $23,480
Raymond James Financial Services Inc. Raymond James Financial investor protection violation 2017 PA-BKG $125,000
Cadaret Grant & Co. Inc. Atria Wealth Solutions investor protection violation 2019 PA-BKG $90,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2006 RI-FIN $10,250
Lincoln Financial Advisors Corp. Lincoln National investor protection violation 2007 RI-FIN $5,000
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2007 RI-FIN $250,000
Ameriprise Advisor Services Inc. Ameriprise Financial investor protection violation 2009 RI-FIN $48,411
Morgan Keegan & Co. Inc. Raymond James Financial investor protection violation 2010 RI-FIN $20,000
MML Investors Services LLC Massachusetts Mutual Life Insurance investor protection violation 2012 RI-FIN $250,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2018 RI-FIN $175,000
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2007 SC-SEC $575,000
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2011 SC-SEC $30,000
LendingClub Corporation LendingClub Corp. investor protection violation 2015 SC-SEC $150,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2016 SC-SEC $175,000
Branch Banking and Trust Company Truist Financial investor protection violation 2016 SC-SEC $97,500
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SC-SEC $650,000
LPL Financial LLC LPL Financial investor protection violation 2019 SC-SEC $40,000
Edward D. Jones & Co. L.P. Jones Financial investor protection violation 2019 SD-INS $10,000
MONY Securities Corporation Equitable Holdings investor protection violation 2003 TN-SEC $10,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2016 TN-SEC $30,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TN-SEC $12,994
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2000 TX-SEC $9,000
Ameritas Investment Corporation Ameritas Mutual Holding Company investor protection violation 2003 TX-SEC $25,000
Pruco Securities LLC Prudential Financial investor protection violation 2004 TX-SEC $10,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2006 TX-SEC $15,000
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2008 TX-SEC $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)