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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Charles Schwab Corp.
Ownership Structure: publicly traded (ticker symbol SCHW)
Headquartered in: California
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2000$833,161,833
Number of records: 35
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$824,331,83331
employment-related offenses$6,300,0002
miscellaneous offenses$2,500,0001
consumer-protection-related offenses$30,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$823,731,83330
wage and hour violation$6,300,0002
data submission deficiencies$2,500,0001
anti-money-laundering deficiencies$600,0001
discriminatory practices (non-employment)$30,0001
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below 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. The totals 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 list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
TD Ameritrade, Inc.investor protection violation2009MULTI-AG$456,000,000
Charles Schwab & Co., Inc. et al.investor protection violation2022SEC$187,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.investor protection violation2011SEC$118,000,000
Charles Schwab & Company, Inc.investor protection violation2011FINRA$18,000,000
TD Ameritrade Inc.investor protection violation2011SEC$10,000,000
Ameritrade, Inc.investor protection violation2004FINRA$10,000,000
Charles Schwab & Co., Inc. et al.investor protection violation2011IL-SEC$8,567,364
Charles Schwabwage and hour violation2014private lawsuit-federal$3,800,000
Charles Schwab & Co., Inc.investor protection violation2018SEC$2,800,000
Charles Schwab & Co., Inc.investor protection violation2011CT-SEC$2,800,000
Scottrade, Inc.investor protection violation2015FINRA$2,600,000
Scottradedata submission deficiencies2014SEC$2,500,000
TD Ameritradewage and hour violation2009private lawsuit-federal$2,500,000
Charles Schwab & Co.investor protection violation2015FINRA$2,000,000
TD Ameritrade Clearing, Inc.investor protection violation2013FINRA$1,150,000
Scottrade, Inc.investor protection violation2008SEC$950,000
Scottradeanti-money-laundering deficiencies2009FINRA$600,000
TD Ameritrade, Inc.investor protection violation2018SEC$500,000
Charles Schwab & Co., Inc.investor protection violation2014FINRA$500,000
Charles Schwab & Companyinvestor protection violation2013FINRA$500,000
TD Ameritrade Inc.investor protection violation2015TX-SEC$400,000
Charles Schwab & Co., Inc.investor protection violation2004SEC$350,000
Scottrade, Inc.investor protection violation2015FINRA$300,000
Scottrade, Inc.investor protection violation2005FINRA$250,000
Ameritrade Inc.investor protection violation2007TX-SEC$200,000
Scottrade, Inc.investor protection violation2010FINRA$200,000
TD Ameritrade, Inc.investor protection violation2015MA-AG$160,000
Charles Schwab & Co. Inc.investor protection violation2016TX-SEC$125,000
TD Ameritradeinvestor protection violation2014SEC$100,800
Scottrade Inc.investor protection violation2016TX-SEC$100,000
Charles Schwab & Co.investor protection violation2014SEC$61,800
Charles Schwab & Co, Inc.investor protection violation2004FINRA$60,869
Ameritrade, Inc.investor protection violation2009DE-SEC$40,000
Charles Schwab Bankdiscriminatory practices (non-employment)2011HUD$30,000
Scottrade, Inc.investor protection violation2004FINRA$16,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.