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
Barclays Capital Inc. Barclays investor protection violation 2016 SEC $500,000
SG Americas Securities LLC Societe Generale investor protection violation 2015 SEC $1,011,093
KCG Americas LLC Virtu Financial investor protection violation 2015 SEC $1,055,197
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2015 SEC $100,000
Comerica Securities, Inc. Comerica investor protection violation 2015 SEC $60,000
BB&T Securities, LLC Truist Financial investor protection violation 2015 SEC $200,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2015 SEC $200,000
Fifth Third Securities, Inc. Fifth Third Bancorp investor protection violation 2015 SEC $20,000
U.S. Bank Municipal Securities Group U.S. Bancorp investor protection violation 2015 SEC $60,000
UMB Bank N.A. Investment Banking Division UMB Financial Corp. investor protection violation 2015 SEC $420,000
UBS Financial Services Inc. UBS investor protection violation 2015 SEC $480,000
PNC Capital Markets LLC PNC Financial Services investor protection violation 2015 SEC $500,000
Macquarie Capital Investment Management LLC, et al Macquarie investor protection violation 2015 SEC $120,000
Voya Holdings Inc. Voya Financial investor protection violation 2018 SEC $3,600,000
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America investor protection violation 2018 SEC $1,404,000
New York Stock Exchange IntercontinentalExchange Group investor protection violation 2018 SEC $14,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 SEC $4,450,000
Ameriprise Financial Services Ameriprise Financial investor protection violation 2018 SEC $230,000
PNC Investments LLC PNC Financial Services investor protection violation 2018 SEC $7,307,770
Brown Brothers Harriman & Co. Brown Brothers Harriman investor protection violation 2014 SEC $120,000
Royal Bank of Scotland Group plc NatWest Group PLC investor protection violation 2014 SEC $120,000
Bank of America Corporation Bank of America investor protection violation 2014 SEC $20,000,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2013 SEC $300,000
Knight Capital Americas LLC Virtu Financial investor protection violation 2013 SEC $12,000,000
ABN AMRO Bank, N.V. ABN AMRO investor protection violation 2013 SEC $5,547,408
UBS O'Connor, LLC UBS investor protection violation 2013 SEC $5,297,716
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC Nasdaq Inc. investor protection violation 2013 SEC $10,000,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Oppenheimer Holdings investor protection violation 2013 SEC $2,886,677
AXA Advisors, LLC Equitable Holdings investor protection violation 2012 SEC $100,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC Credit Suisse investor protection violation 2011 SEC $2,500,000
BNY Mellon Securities LLC Bank of New York Mellon investor protection violation 2011 SEC $24,045,447
Banc of America Securities LLC Bank of America price-fixing or anti-competitive practices 2010 SEC $36,096,442
World Group Securities, Inc. Aegon investor protection violation 2010 SEC $200,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs investor protection violation 2010 SEC $225,000
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2010 SEC $470,147
Legg Mason Inc. Franklin Resources Foreign Corrupt Practices Act 2018 SEC $34,500,000
AEGON USA Investment Management LLC et al. Aegon investor protection violation 2018 SEC $97,600,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2018 SEC $8,900,000
Citigroup Citigroup accounting fraud or deficiencies 2018 SEC $10,500,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SEC $4,500,000
Mizuho Securities USA LLC Mizuho Financial investor protection violation 2018 SEC $1,250,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 SEC $73,200,000
Credit Suisse Group AG Credit Suisse Foreign Corrupt Practices Act 2018 SEC $29,700,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2018 SEC $3,600,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2018 SEC $5,108,441
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2018 SEC $42,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2018 SEC $15,700,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China investor protection violation 2018 SEC $860,000
Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2018 SEC $2,800,000
Merrill Lynch, Pierce and Fenner & Smith Incorporated Bank of America investor protection violation 2018 SEC $8,872,723
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2018 SEC $1,250,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2009 SEC $150,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2009 SEC $50,000
New York Life Investment Management LLC New York Life Insurance investor protection violation 2009 SEC $6,100,784
American Skandia Investment Services, Inc. Prudential Financial investor protection violation 2009 SEC $68,000,000
TD Options LLC Toronto-Dominion Bank investor protection violation 2009 SEC $1,000,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC Goldman Sachs investor protection violation 2009 SEC $7,200,000
Knight Financial Products, LLC Virtu Financial investor protection violation 2009 SEC $2,040,000
RBC Capital Markets Corporation Royal Bank of Canada investor protection violation 2009 SEC $125,000
Oppenheimer & Co. Inc Oppenheimer Holdings investor protection violation 2009 SEC $850,000
SG Americas Securities, LLC Societe Generale investor protection violation 2009 SEC $8,384,932
Ferris, Baker Watts, Inc. Royal Bank of Canada investor protection violation 2009 SEC $800,656
Gabelli Funds, LLC Gamco Investors Inc. investor protection violation 2009 SEC $450,000
Massachusetts Financial Services Company Sun Life Financial investor protection violation 2018 SEC $1,900,000
Citibank N.A. Citigroup investor protection violation 2018 SEC $38,700,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2018 SEC $5,000,000
LendingClub Asset Management LLC LendingClub Corp. investor protection violation 2018 SEC $5,000,000
Voya Financial Advisors Inc. Voya Financial investor protection violation 2018 SEC $1,000,000
SG Americas Securities LLC (Societe Generale) Societe Generale investor protection violation 2018 SEC $800,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2018 SEC $12,937,475
Convergex Execution Solutions LLC Cowen Inc. data submission deficiencies 2018 SEC $2,750,000
Cadaret, Grant & Co. Inc. Atria Wealth Solutions investor protection violation 2018 SEC $513,194
Putnam Investment Management, LLC Power Financial Corporation investor protection violation 2018 SEC $1,000,000
TD Ameritrade, Inc. Charles Schwab Corp. investor protection violation 2018 SEC $500,000
Heartland Payment Systems, LLC Global Payments Inc. investor protection violation 2018 SEC $2,160,000
BB&T Securities, LLC Truist Financial investor protection violation 2018 SEC $100,000
LPL Financial Corporation LPL Financial investor protection violation 2008 SEC $275,000
E*Trade Clearing LLC Morgan Stanley investor protection violation 2008 SEC $500,000
Gabelli Funds LLC Gamco Investors Inc. investor protection violation 2008 SEC $16,000,000
JPMorgan Chase & Co. JPMorgan Chase investor protection violation 2008 SEC $1,998,143
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2007 SEC $17,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2007 SEC $7,500,000
Smith Barney Fund Management LLC Franklin Resources investor protection violation 2007 SEC $450,000
Putnam Investment Management, LLC Power Financial Corporation investor protection violation 2007 SEC $350,000
AllianceBernstein, L.P. Equitable Holdings investor protection violation 2007 SEC $450,000
John Hancock Investment Management Services, LLC Manulife Financial investor protection violation 2007 SEC $19,787,879
Citigroup Global Markets, Inc. Citigroup investor protection violation 2007 SEC $200,000
Deutsche Bank Trust Company Americas Deutsche Bank investor protection violation 2007 SEC $750,000
The Bank Of New York Bank of New York Mellon investor protection violation 2007 SEC $750,000
Wilmington Trust Company M&T Bank investor protection violation 2007 SEC $100,000
Deutsche Bank Securities, Inc. Deutsche Bank investor protection violation 2006 SEC $442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. Deutsche Bank investor protection violation 2006 SEC $17,200,000
Strong Capital Management, Inc. Wells Fargo investor protection violation 2006 SEC $2,185,927
Deutsche Investment Management Americas, Inc. et al. Deutsche Bank investor protection violation 2006 SEC $19,329,729
Waddell & Reed, Inc. Macquarie investor protection violation 2006 SEC $50,000,000
Metropolitan Life Insurance Company MetLife investor protection violation 2006 SEC $250,000
New England Securities Corp. MetLife investor protection violation 2006 SEC $2,614,865
Morgan Keegan & Co., Inc. Raymond James Financial investor protection violation 2006 SEC $558,806
CIBC World Markets Corporation Canadian Imperial Bank of Commerce investor protection violation 2005 SEC $496,598
State Street Research & Management Company State Street Corp. investor protection violation 2005 SEC $585,743
Legg Mason Wood Walker, Incorporated Franklin Resources investor protection violation 2005 SEC $1,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)