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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.

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CompanyCurrent ParentPrimary Offense Type sort iconYearAgencyPenalty Amount
CitigroupCitigroupinvestor protection violation2012FINRA$1,279,106
Goldman SachsGoldman Sachsinvestor protection violation2012FINRA$683,997
JP MorganJPMorgan Chaseinvestor protection violation2012FINRA$623,376
Merrill LynchBank of Americainvestor protection violation2012FINRA$1,074,200
Morgan StanleyMorgan Stanleyinvestor protection violation2012FINRA$817,754
Pruco Securities, LLCPrudential Financialinvestor protection violation2012FINRA$11,250,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2012FINRA$500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2012FINRA$2,800,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2012FINRA$3,500,000
Citigroup Global Markets, IncCitigroupinvestor protection violation2012FINRA$2,741,489
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2012FINRA$2,146,431
UBS Financial ServicesUBSinvestor protection violation2012FINRA$2,354,584
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2012FINRA$1,931,488
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2012FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $11,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2012FINRA$1,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2012FINRA$725,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011FINRA$1,750,000
Barclays Capital Inc.Barclaysinvestor protection violation2011FINRA$3,000,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2011FINRA$2,000,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2011FINRA$2,050,000
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2011FINRA$3,600,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2011FINRA$1,371,000
UBS Securities LLCUBSinvestor protection violation2011FINRA$12,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2011FINRA$1,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011FINRA$2,115,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2011FINRA$500,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2011FINRA$5,000,000
Northern Trust SecuritiesNorthern Trustinvestor protection violation2011FINRA$600,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011FINRA$4,500,000
Merrill LynchBank of Americainvestor protection violation2011FINRA$3,000,000
Nuveen Investments, LLCTIAAinvestor protection violation2011FINRA$3,000,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2011FINRA$1,000,000
Santander Securities of Puerto RicoBanco Santanderinvestor protection violation2011FINRA$2,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2011FINRA$10,750,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$650,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$500,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2011FINRA$600,000
Charles Schwab & Company, Inc.Charles Schwab Corp.investor protection violation2011FINRA$18,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2010FINRA$650,000
Ferris, Baker Watts LLCRoyal Bank of Canadainvestor protection violation2010FINRA$690,000
Zions Direct, Inc.Zions Bancorporationinvestor protection violation2010FINRA$225,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2010FINRA$375,000
Merrill LynchBank of Americainvestor protection violation2010FINRA$2,500,000
Morgan Stanley & Co., Inc.Morgan Stanleyinvestor protection violation2010FINRA$800,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2010FINRA$1,440,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2010FINRA$7,500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010FINRA$1,500,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2010FINRA$700,000
Deutsche Bank SecuritiesDeutsche Bankinvestor protection violation2010FINRA$575,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2010FINRA$135,000
HSBC Securities (USA)HSBCinvestor protection violation2010FINRA$1,500,000
US Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2010FINRA$275,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010FINRA$650,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2010FINRA$200,000
H&R Block Financial Advisors, Inc.H&R Blockinvestor protection violation2010FINRA$200,000
MetLife Securities, Inc.MetLifeinvestor protection violation2009FINRA$1,200,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009FINRA$600,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$425,000
UBS SecuritiesUBSinvestor protection violation2009FINRA$268,000
Deutsche BankDeutsche Bankinvestor protection violation2009FINRA$152,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2009FINRA$200,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2009FINRA$150,000
Credit Suisse Securities (USA), LLCUBSinvestor protection violation2009FINRA$275,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2009FINRA$100,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009FINRA$150,000
UBS Financial Services, Inc.UBSinvestor protection violation2009FINRA$100,000
KeyBanc Capital Markets, Inc.KeyCorpinvestor protection violation2009FINRA$425,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009FINRA$275,000
PNC InvestmentsPNC Financial Servicesinvestor protection violation2009FINRA$250,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$250,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2009FINRA$1,000,000
ICAP Corporates LLCCME Groupinvestor protection violation2009FINRA$2,800,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2009FINRA$1,400,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2009FINRA$1,000,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2009FINRA$400,000
M&T Securities, Inc.M&T Bankinvestor protection violation2009FINRA$200,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2009FINRA$200,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2009FINRA$1,750,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2009FINRA$900,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2009FINRA$7,200,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargoinvestor protection violation2009FINRA$1,100,000
New England SecuritiesMetLifeinvestor protection violation2009FINRA$500,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2009FINRA$300,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$32,500
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2009FINRA$25,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$2,000,000
Wachovia SecuritiesWells Fargoinvestor protection violation2009FINRA$4,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2008FINRA$300,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2008FINRA$250,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$700,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2008FINRA$1,650,000
Comerica Securities, Inc.Comericainvestor protection violation2008FINRA$750,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$300,000
Prudential SecuritiesWells Fargoinvestor protection violation2008FINRA$1,050,000
UBS Financial Services, Inc.UBSinvestor protection violation2008FINRA$1,000,000
Pruco SecuritiesPrudential Financialinvestor protection violation2008FINRA$100,000
Merrill LynchBank of Americainvestor protection violation2008FINRA$250,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2008FINRA$4,500,000
Banc One Securities CorporationJPMorgan Chaseinvestor protection violation2008FINRA$225,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2008FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2008FINRA$200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.