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Violation Tracker Current Parent Company Summary
Current Parent Company Name: Fidelity Investments
Ownership Structure: privately held
Headquartered in: Massachusetts
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2000: $54,068,354
Number of records: 14
| Top 5 Offense Groups (Groups Defined) | Penalty Total | Number of Records |
| employment-related offenses | $24,060,001 | 4 |
| financial offenses | $22,001,353 | 8 |
| competition-related offenses | $8,000,000 | 1 |
| safety-related offenses | $7,000 | 1 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
| benefit plan administrator violation | $22,860,001 | 3 |
| investor protection violation | $21,937,500 | 7 |
| kickbacks and bribery | $8,000,000 | 1 |
| wage and hour violation | $1,200,000 | 1 |
| economic sanction violation | $63,853 | 1 |
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.
Company  | Primary Offense Type | Year | Agency | Penalty Amount |
| Fidelity Brokerage Services LLC | investor protection violation | 2011 | IN-SEC | $7,500 |
| Fidelity Brokerage Services LLC | investor protection violation | 2015 | FINRA | $1,030,000 |
| Fidelity Brokerage Services LLC | investor protection violation | 2023 | MA-SEC | $750,000 |
| Fidelity Brokerage Services, Inc. dba Fidelity Investments | economic sanction violation | 2005 | OFAC | $63,853 |
| Fidelity Brokerage Services, LLC | investor protection violation | 2004 | SEC | $1,000,000 |
| Fidelity Distributors Corp. et al. | investor protection violation | 2007 | FINRA | $3,750,000 |
| Fidelity Investments | kickbacks and bribery | 2008 | SEC | $8,000,000 |
| Fidelity Investments | wage and hour violation | 2019 | private lawsuit-federal | $1,200,000 |
| FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS, INC | workplace safety or health violation | 2011 | OSHA | $7,000 |
| Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation | investor protection violation | 2007 | FINRA | $400,000 |
| Fidelity Management Trust Company | benefit plan administrator violation | 2007 | private lawsuit-federal | $10,850,000 |
| Fiserv Securities, Inc. | investor protection violation | 2005 | SEC | $15,000,000 |
| FMR LLC | benefit plan administrator violation | 2014 | private lawsuit-federal | $12,000,000 |
| FMR LLC | benefit plan administrator violation | 2021 | EBSA | $10,001 |
