Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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 or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense Type sort iconYearAgencyPenalty Amount
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014MULTI-FIN$2,800,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
LPL Financial LLCLPL Financialinvestor protection violation2015MULTI-FIN$1,425,000
LPL Financial LLCLPL Financialinvestor protection violation2018MULTI-FIN$26,000,000
Merrill LynchBank of Americainvestor protection violation2010MULTI-FIN$26,563,094
Merrill LynchBank of Americainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $35,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2009MULTI-FIN$8,500,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCinvestor protection violation2015MULTI-FIN$5,160,000
ProEquities, IncDai-ichi Lifeinvestor protection violation2012MULTI-FIN$435,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2008MULTI-FIN$1,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2011MULTI-FIN$1,750,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $9,800,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2014MULTI-FIN$2,800,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2009MULTI-FIN$525,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $12,500,000
UBS Financial Services Inc.UBSinvestor protection violation2013MULTI-FIN$4,600,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
UBS Warburg and UBS PaineWebberUBSinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
UVEST Financial Services Group, Inc.LPL Financialinvestor protection violation2013MULTI-FIN$750,000
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2007MULTI-FIN$24,650,000
Wachovia Securities LLCWells Fargoinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MULTI-FIN$18,000,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009MULTI-FIN$1,900,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$50,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$77,400,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2020CFTC$9,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2020CFTC$1,250,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020CT-SEC$400,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020FL-OFR$79,045
Wells Fargo & Co.Wells Fargoinvestor protection violation2020MD-AG$20,000,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020PA-BKG$52,372
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SD-SEC$5,750
Northern Trust Hedge Fund Services LLCNorthern Trustinvestor protection violation2020SEC$167,629
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2020SEC$11,500,000
VALIC Financial Advisors Inc.American International Groupinvestor protection violation2020SEC$39,900,000
UBS Financial Services Inc.UBSinvestor protection violation2020SEC$10,000,000
Franklin Advisers and Inc.Franklin Resourcesinvestor protection violation2020SEC$250,000
Franklin Templeton Investments Corp.Franklin Resourcesinvestor protection violation2020SEC$75,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2020SEC$250,000
SG Americas Securities LLCSociete Generaleinvestor protection violation2020SEC$1,550,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020TX-SEC$46,073
Morgan Stanley Capital Services LLCMorgan Stanleyinvestor protection violation2020CFTC$5,000,000
Gain Capital Group, LLCStoneX Groupinvestor protection violation2020CFTC$300,000
JPMorgan Chase & CompanyJPMorgan Chaseinvestor protection violation2020CFTC$920,200,000
Citibank N.A.Citigroupinvestor protection violation2020CFTC$4,500,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CO-SEC$69,338
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2020CT-BKG$150,000
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-BKG$10,510
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IL-SEC$11,385
Thrivent Investment Management Inc.Thrivent Financialinvestor protection violation2020IL-SEC$400,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020KY-FIN$5,465
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MS-SEC$6,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MT-FIN$14,700
LPL Financial LLCLPL Financialinvestor protection violation2020NH-BSR$976,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NM-SEC$6,500
Goldman Sachs GroupGoldman Sachsinvestor protection violation2020NY-DFS$150,000,000
Ameritas Investment Company LLCAmeritas Mutual Holding Companyinvestor protection violation2020PA-BKG$100,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020RI-FIN$6,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SC-SEC$28,007
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2020SEC$5,000,000
Transamerica Asset Management, Inc.Aegoninvestor protection violation2020SEC$5,946,782
BGC Partners, Inc.BGC Partnersinvestor protection violation2020SEC$1,400,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$35,000,000
Fulton Financial CorporationFulton Financialinvestor protection violation2020SEC$1,500,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2020SEC$600,000
Solium Financial ServicesMorgan Stanleyinvestor protection violation2021DC-DISB$9,879
E*Trade Securities LLCMorgan Stanleyinvestor protection violation2021NH-BSR$5,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020NH-BSR$26,250,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2020SEC$18,252,341
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2020SEC$22,919,155
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2020SEC$65,000,000
Transamerica Financial Advisors, Inc.Aegoninvestor protection violation2020FINRA$8,800,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2020FINRA$2,075,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2020FINRA$1,550,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020FINRA$7,200,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2020FINRA$3,650,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2019FINRA$4,600,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$280,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$280,000
LPL Financial LLCLPL Financialinvestor protection violation2019FINRA$280,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019FINRA$280,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$280,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2019FINRA$6,500,000
Robinhood Financial, LLCRobinhood Marketsinvestor protection violation2019FINRA$1,250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$4,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2019FINRA$8,000,000
UBS Financial Services Inc.UBSinvestor protection violation2019FINRA$2,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$1,100,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$1,250,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019FINRA$772,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019FINRA$2,000,000
LPL Financial, LLCLPL Financialinvestor protection violation2018FINRA$2,750,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2018FINRA$5,500,000
E-Trade Securities, LLCMorgan Stanleyinvestor protection violation2008FINRA$500,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2008FINRA$350,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2018FINRA$6,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.