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
Barclays Capital, Inc. Barclays investor protection violation 2015 FINRA $13,750,000
Macquarie Capital (USA) Inc. Macquarie investor protection violation 2015 FINRA $2,950,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2015 FINRA $7,300,000
Fidelity Brokerage Services LLC Fidelity Investments investor protection violation 2015 FINRA $1,030,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2015 FINRA $1,400,000
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2015 FINRA $2,600,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2015 FINRA $13,500,000
Stifel Nicolaus & Company, Inc. Stifel Financial investor protection violation 2015 FINRA $2,900,000
Janney Montgomery Scott, LLC Penn Mutual investor protection violation 2015 FINRA $1,200,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2015 FINRA $600,000
Fifth Third Securities, Inc. Fifth Third Bancorp investor protection violation 2015 FINRA $963,534
MetLife Securities, Inc. MetLife investor protection violation 2015 FINRA $649,748
Comerica Securities Comerica investor protection violation 2015 FINRA $347,757
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2015 FINRA $278,544
Santander Securities LLC Banco Santander investor protection violation 2015 FINRA $6,421,000
UBS Financial Services Incorporated of Puerto Rico UBS investor protection violation 2015 FINRA $18,500,000
Charles Schwab & Co. Charles Schwab Corp. investor protection violation 2015 FINRA $2,000,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs investor protection violation 2015 FINRA $1,800,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2015 FINRA $15,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2015 FINRA $8,700,000
LPL Financial LLC LPL Financial investor protection violation 2015 FINRA $6,300,000
Morgan Stanley Smith Barney, LLC Morgan Stanley investor protection violation 2015 FINRA $650,000
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2015 FINRA $300,000
Morgan Stanley & Co. LLC Morgan Stanley investor protection violation 2015 FINRA $2,000,000
LPL Financial LLC LPL Financial investor protection violation 2015 FINRA $11,700,000
RBC Capital Markets Royal Bank of Canada investor protection violation 2015 FINRA $1,434,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2015 FINRA $3,750,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2014 FINRA $2,440,000
Barclays Capital Inc. Barclays investor protection violation 2014 FINRA $5,000,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2014 FINRA $5,000,000
Credit Suisse Securities (USA), LLC Credit Suisse investor protection violation 2014 FINRA $5,000,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2014 FINRA $5,000,000
JP Morgan Securities LLC JPMorgan Chase investor protection violation 2014 FINRA $5,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2014 FINRA $4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2014 FINRA $4,000,000
Morgan Stanley & Co., LLC Morgan Stanley investor protection violation 2014 FINRA $4,000,000
Wells Fargo Securities, LLC Wells Fargo investor protection violation 2014 FINRA $4,000,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2014 FINRA $15,000,000
Merrill Lynch Bank of America investor protection violation 2014 FINRA $6,000,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2014 FINRA $2,488,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs investor protection violation 2014 FINRA $800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2014 FINRA $32,400,000
Barclays Capital Inc. Barclays investor protection violation 2014 FINRA $1,000,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2014 FINRA $1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2014 FINRA $1,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2014 FINRA $5,000,000
Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2014 FINRA $500,000
LPL Financial LLC LPL Financial investor protection violation 2014 FINRA $950,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2014 FINRA $1,097,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2014 FINRA $775,000
Stifel Financial Corporation Stifel Financial investor protection violation 2014 FINRA $1,025,000
Barclays Capital Inc. Barclays investor protection violation 2013 FINRA $3,750,000
Deutsche Bank Securities, Inc. Deutsche Bank investor protection violation 2013 FINRA $6,500,000
Oppenheimer & Co., Inc. Oppenheimer Holdings investor protection violation 2013 FINRA $921,000
TD Ameritrade Clearing, Inc. Charles Schwab Corp. investor protection violation 2013 FINRA $1,150,000
SG Americas Securities, Inc. Societe Generale investor protection violation 2013 FINRA $675,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC Morgan Stanley investor protection violation 2013 FINRA $1,188,000
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2013 FINRA $3,250,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2013 FINRA $2,000,000
LPL Financial LLC LPL Financial investor protection violation 2013 FINRA $9,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2013 FINRA $1,373,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2013 FINRA $750,000
Charles Schwab & Company Charles Schwab Corp. investor protection violation 2013 FINRA $500,000
ING Groep N.V. Voya Financial investor protection violation 2013 FINRA $1,200,000
Citigroup Citigroup investor protection violation 2012 FINRA $1,279,106
Goldman Sachs Goldman Sachs investor protection violation 2012 FINRA $683,997
JP Morgan JPMorgan Chase investor protection violation 2012 FINRA $623,376
Merrill Lynch Bank of America investor protection violation 2012 FINRA $1,074,200
Morgan Stanley Morgan Stanley investor protection violation 2012 FINRA $817,754
Pruco Securities, LLC Prudential Financial investor protection violation 2012 FINRA $11,250,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2012 FINRA $500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2012 FINRA $2,800,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2012 FINRA $3,500,000
Citigroup Global Markets, Inc Citigroup investor protection violation 2012 FINRA $2,741,489
Morgan Stanley & Co., LLC Morgan Stanley investor protection violation 2012 FINRA $2,146,431
UBS Financial Services UBS investor protection violation 2012 FINRA $2,354,584
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2012 FINRA $1,931,488
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2012 FINRA (*) $11,000,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2012 FINRA $1,000,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2012 FINRA $725,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2011 FINRA $1,750,000
Barclays Capital Inc. Barclays investor protection violation 2011 FINRA $3,000,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2011 FINRA $2,000,000
NEXT Financial Group, Inc. Atria Wealth Solutions investor protection violation 2011 FINRA $2,050,000
Chase Investment Services Corporation JPMorgan Chase investor protection violation 2011 FINRA $3,600,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2011 FINRA $1,371,000
UBS Securities LLC UBS investor protection violation 2011 FINRA $12,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2011 FINRA $1,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2011 FINRA $2,115,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2011 FINRA $500,000
SunTrust Robinson Humphrey, Inc. Truist Financial investor protection violation 2011 FINRA $5,000,000
Northern Trust Securities Northern Trust investor protection violation 2011 FINRA $600,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2011 FINRA $4,500,000
Merrill Lynch Bank of America investor protection violation 2011 FINRA $3,000,000
Nuveen Investments, LLC TIAA investor protection violation 2011 FINRA $3,000,000
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2011 FINRA $1,000,000
Santander Securities of Puerto Rico Banco Santander investor protection violation 2011 FINRA $2,000,000
UBS Financial Services, Inc. UBS investor protection violation 2011 FINRA $10,750,000
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2011 FINRA $650,000
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2011 FINRA $500,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation Lincoln National investor protection violation 2011 FINRA $600,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)