Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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
Jefferson Pilot Securities Corporation Lincoln National investor protection violation 2004 FINRA $125,000
SunAmerica Securities, Inc. American International Group investor protection violation 2004 FINRA $100,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2004 FINRA $250,000
Credit Suisse First Boston, L.L.C. Credit Suisse investor protection violation 2004 FINRA $50,000
Deutsche Bank Securities, Inc. Deutsche Bank investor protection violation 2004 FINRA $15,000
Schwab Capital Markets, L.P. Charles Schwab Corp. investor protection violation 2004 FINRA $70,000
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2004 FINRA $16,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs investor protection violation 2004 FINRA $75,000
UBS Securities, L.L.C. UBS investor protection violation 2004 FINRA $10,000
SG Cowen, LLC Cowen Inc. investor protection violation 2004 FINRA $800,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2004 FINRA $2,200,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2004 FINRA $5,000,000
Deutsche Bank Securities, Inc. Deutsche Bank investor protection violation 2004 FINRA $5,000,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2004 FINRA $5,000,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2004 FINRA $250,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2004 FINRA $250,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2004 FINRA $250,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2004 FINRA $2,400,000
Charles Schwab & Co, Inc. Charles Schwab Corp. investor protection violation 2004 FINRA $60,869
Edward Jones Jones Financial investor protection violation 2004 FINRA $25,181
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2004 FINRA $109,527
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2004 FINRA $38,312
Prudential Equity Group, LLC Prudential Financial investor protection violation 2004 FINRA $17,306
UBS Financial Services Inc. UBS investor protection violation 2004 FINRA $200,666
Wachovia Securities, LLC. Wells Fargo investor protection violation 2004 FINRA $39,486
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank investor protection violation 2004 FINRA $150,000
Stifel Nicolaus & Company Stifel Financial investor protection violation 2004 FINRA $125,000
American Express Financial Advisors, Inc. Ameriprise Financial investor protection violation 2004 FINRA $300,000
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2004 FINRA $4,950,000
Deutsche Bank Securities, Inc. Deutsche Bank investor protection violation 2004 FINRA $5,290,000
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2004 FINRA $5,390,000
Robertson Stephens, Inc. Bank of America investor protection violation 2004 FINRA $275,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2004 FINRA $250,000
State Street Research Investment Services, Inc. State Street Corp. investor protection violation 2004 FINRA $1,500,000
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2004 FINRA $280,469
Lehman Brothers Inc. Lehman Brothers investor protection violation 2004 FINRA $123,882
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2004 FINRA $36,971
Credit Suisse First Boston LLC Credit Suisse investor protection violation 2004 FINRA $770,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC Prudential Financial investor protection violation 2004 FINRA $11,500,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2003 FINRA (*) $50,000,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2003 FINRA $2,000,000
J.P. Morgan Securities, Inc. JPMorgan Chase investor protection violation 2003 FINRA $6,000,000
Robertson Stephens, Inc. Bank of America investor protection violation 2003 FINRA (*) $14,000,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2002 FINRA $350,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2002 FINRA (*) $1,650,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2002 FINRA (*) $1,650,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2002 FINRA (*) $1,650,000
Salomon Smith Barney Inc. Morgan Stanley investor protection violation 2002 FINRA (*) $1,650,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2002 FINRA (*) $1,650,000
Salomon Smith Barney Morgan Stanley investor protection violation 2002 FINRA $5,000,000
U.S. Bancorp Piper Jaffray Piper Sandler investor protection violation 2002 FINRA $250,000
Interactive Brokers, L.L.C. Interactive Brokers Group investor protection violation 2002 FINRA $230,000
Credit Suisse First Boston Corporation Credit Suisse investor protection violation 2002 FINRA (*) $50,000,000
Knight Securities L.P. Virtu Financial investor protection violation 2002 FINRA $1,500,000
CUNA Brokerage Services, Inc. CUNA Mutual investor protection violation 2001 FINRA $100,000
Prudential Securities Incorporated Wells Fargo investor protection violation 2001 FINRA $20,000
J.P. Morgan Securities, Inc. JPMorgan Chase investor protection violation 2001 FINRA $10,000
Schwab Capital Markets Charles Schwab Corp. investor protection violation 2001 FINRA $12,000
Spear, Leeds & Kellogg Goldman Sachs investor protection violation 2001 FINRA $10,000
E-Trade Securities Morgan Stanley investor protection violation 2001 FINRA $90,000
Lehman Brothers, Inc. Lehman Brothers investor protection violation 2001 FINRA $65,000
Banc of America Securities LLC Bank of America investor protection violation 2001 FINRA $40,000
Credit Suisse First Boston Corporation Credit Suisse investor protection violation 2001 FINRA $25,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2001 FINRA $15,000
Chase Securities, Inc. JPMorgan Chase investor protection violation 2001 FINRA $10,000
Josephthal & Co., Inc. Oppenheimer Holdings investor protection violation 2001 FINRA $2,300,000
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2001 FINRA $225,000
Prudential Securities, Inc. Wells Fargo investor protection violation 2001 FINRA $10,000
First Union Brokerage Services, Inc. Wells Fargo investor protection violation 2001 FINRA $32,500
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2000 FINRA $200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2000 FINRA $97,000
E-TRADE Securities, Inc. Morgan Stanley investor protection violation 2000 FINRA $20,000
John Nuveen & Co., Inc. TIAA investor protection violation 2000 FINRA $6,630,000
First Union Securities, Inc. Wells Fargo investor protection violation 2000 FINRA $350,000
J. P. Morgan Securities Inc. JPMorgan Chase investor protection violation 2000 FINRA $200,000
Kemper Distributors, Inc. Kemper investor protection violation 2000 FINRA $100,000
E-TRADE Securities, Inc. Morgan Stanley investor protection violation 2000 FINRA $20,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2000 FINRA $5,890,000
Raymond James & Associates Inc. Raymond James Financial investor protection violation 2000 FINRA $3,410,000
CS First Boston Corp. Credit Suisse investor protection violation 2000 FINRA $1,240,000
Piper Jaffray Inc. Piper Sandler investor protection violation 2000 FINRA $933,000
Southwest Securities Inc. Hilltop Holdings investor protection violation 2000 FINRA $500,000
Prudential Securities, Inc. Wells Fargo investor protection violation 2000 FINRA $100,000
Morgan Stanley & Co., Inc. Morgan Stanley investor protection violation 2000 FINRA $495,000
Janney Montgomery Scott, LLC Penn Mutual investor protection violation 2020 CT-SEC $250,000
Schupp & Grochmal, LLC Schupp & Grochmal investor protection violation 2020 CT-SEC $7,500
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2021 SD-SEC $20,000
J.P. Morgan Securities Inc. JPMorgan Chase kickbacks and bribery 2009 SEC $75,000,000
Fidelity Investments Fidelity Investments kickbacks and bribery 2008 SEC $8,000,000
JPMorgan Securities JPMorgan Chase kickbacks and bribery 2016 DOJ_CRIMINAL $72,000,000
Prospect Mortgage, LLC Homebridge Financial Services kickbacks and bribery 2011 HUD $3,100,000
Fidelity National Financial, Inc. Fidelity National Financial kickbacks and bribery 2011 HUD $4,500,000
First American Title Insurance Company First American Financial kickbacks and bribery 2007 HUD $5,000,000
First American Title Insurance Company First American Financial kickbacks and bribery 2005 HUD $680,000
Metropolitan Life Insurance Company MetLife kickbacks and bribery 2010 USAO $13,500,000
Liberty Mutual Insurance Co. Liberty Mutual Insurance kickbacks and bribery 2010 CT-AG $2,000,000
Marsh & McLennan Companies, Inc. Marsh & McLennan kickbacks and bribery 2009 CT-AG $2,400,000
Mutual of Omaha Insurance Co. Mutual of Omaha kickbacks and bribery 2008 CT-AG $1,700,000
Principal Financial Group Principal Financial kickbacks and bribery 2007 CT-AG $5,000,000
Unum Group Unum kickbacks and bribery 2008 USAO $5,550,000
Metropolitan Life Insurance MetLife kickbacks and bribery 2008 CA-MULTI $500,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)