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| Top 5 Jurisdictions | Penalty Total (USD) | Number of Records |
|---|---|---|
| United States | $368,476,714 | 25 |
| United Kingdom | $11,969,457 | 1 |
| Top 5 Offense Groups | Penalty Total (USD) | Number of Records |
|---|---|---|
| financial offenses | $380,334,421 | 24 |
| consumer-protection-related offenses | $111,750 | 2 |
Click on the company or penalty amount for more information on each case.
| Company | Current Parent Industry | Offense Category | Year | Jurisdiction | Penalty Amount (USD) |
|---|---|---|---|---|---|
| Charles Schwab & Co., Inc. et al. | financial services | investor protection violation | 2022 | United States | $187,000,000 |
| Charles Schwab Investment Management and Charles Schwab & Co., Inc. | financial services | investor protection violation | 2011 | United States | $118,000,000 |
| Charles Schwab & Company, Inc. | financial services | investor protection violation | 2011 | United States | $18,000,000 |
| Charles Schwab UK Ltd. | financial services | investor protection violation | 2020 | United Kingdom | $11,969,457 |
| TD Ameritrade Inc. | financial services | investor protection violation | 2011 | United States | $10,000,000 |
| Charles Schwab & Co., Inc. | financial services | investor protection violation | 2025 | United States | $10,000,000 |
| Charles Schwab & Co., Inc. et al. | financial services | investor protection violation | 2011 | United States | $8,567,364 |
| Charles Schwab & Co., Inc. | financial services | investor protection violation | 2018 | United States | $2,800,000 |
| Charles Schwab & Co., Inc. | financial services | investor protection violation | 2011 | United States | $2,800,000 |
| Scottrade, Inc. | financial services | investor protection violation | 2015 | United States | $2,600,000 |
| Scottrade | financial services | investor protection violation | 2014 | United States | $2,500,000 |
| Charles Schwab & Co. | financial services | investor protection violation | 2015 | United States | $2,000,000 |
| TD Ameritrade Clearing, Inc. | financial services | investor protection violation | 2013 | United States | $1,150,000 |
| TD Ameritrade, Inc. | financial services | investor protection violation | 2018 | United States | $500,000 |
| Charles Schwab & Co., Inc. | financial services | investor protection violation | 2014 | United States | $500,000 |
| Charles Schwab & Company | financial services | investor protection violation | 2013 | United States | $500,000 |
| TD Ameritrade Inc. | financial services | investor protection violation | 2015 | United States | $400,000 |
| Scottrade, Inc. | financial services | investor protection violation | 2015 | United States | $300,000 |
| Scottrade, Inc. | financial services | investor protection violation | 2010 | United States | $200,000 |
| TD Ameritrade, Inc. | financial services | investor protection violation | 2015 | United States | $160,000 |
| Charles Schwab & Co. Inc. | financial services | investor protection violation | 2016 | United States | $125,000 |
| TD Ameritrade | financial services | investor protection violation | 2014 | United States | $100,800 |
| Scottrade Inc. | financial services | investor protection violation | 2016 | United States | $100,000 |
| TD Ameritrade, Inc. | financial services | consumer protection violation | 2022 | United States | $81,750 |
| Charles Schwab & Co. | financial services | investor protection violation | 2014 | United States | $61,800 |
| Charles Schwab Bank | financial services | discriminatory practices (non-employment) | 2011 | United States | $30,000 |
