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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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 TypeYearAgency sort iconPenalty Amount
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2010MULTI-AG$31,000,000
Pacific LifePacific Lifeinsurance violation2015MULTI-AG$2,450,000
PayPal, Inc.PayPal Holdingsconsumer protection violation2006MULTI-AG$1,700,000
PHH Mortgage Corp.Ocwen Financialmortgage abuses2018MULTI-AG$45,000,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012MULTI-AG$17,000,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2008MULTI-AG$859,800,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $400,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2016MULTI-AG$26,750,000
St. Paul TravelersTravelersprice-fixing or anti-competitive practices2006MULTI-AG$77,000,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2016MULTI-AG$277,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2017MULTI-AG$250,000
State Farm Mutual Insurance CompanyState Farm Insuranceconsumer protection violation2005MULTI-AG$41,000,000
Strong Capital Management Co.Wells Fargoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $115,000,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2009MULTI-AG$112,825,000
Sun Life Insurance CompanySun Life Financialinsurance violation2014MULTI-AG$3,200,000
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $40,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009MULTI-AG$456,000,000
TD Bank, N.A.Toronto-Dominion Bankprivacy violation2014MULTI-AG$850,000
The Hartford Financial Services GroupHartford Financial Servicesinvestor protection violation2006MULTI-AG$20,000,000
Transamerica Insurance Co.Aegoninsurance violation2013MULTI-AG$11,200,000
TravelersCompanies, Inc.Travelersprice-fixing or anti-competitive practices2007MULTI-AG$6,000,000
UBS AGUBSprice-fixing or anti-competitive practices2018MULTI-AG$68,000,000
UBS AGUBSprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,800,000
UBS Financial Services, IncUBSinvestor protection violation2013MULTI-AG$4,580,000
UBS Securities LLC and UBS Financial Services, Inc.UBSinvestor protection violation2008MULTI-AG$11,150,000,000
UBS Warburg LLCUBSinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
UnumProvident CorporationUnumconsumer protection violation2004MULTI-AG$15,000,000
US BankU.S. Bancorpprivacy violation2000MULTI-AG$2,000,000
Wachovia Bank N.A.Wells Fargoprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $58,750,000
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2006MULTI-AG$25,000,000
Wachovia SecuritiesWells Fargoinvestor protection violation2008MULTI-AG$60,000,000
Wells FargoWells Fargoconsumer protection violation2010MULTI-AG$23,700,000
Wells FargoWells Fargomortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,005,233,716
Wells Fargo Bank N.A.Wells Fargobanking violation2018MULTI-AG$575,000,000
Wells Fargo Financial Leasing, Inc.Wells Fargoconsumer protection violation2005MULTI-AG$10,000,000
Western Union Co.Western Unionconsumer protection violation2017MULTI-AG$5,000,000
Western Union Financial ServicesWestern Unionconsumer protection violation2005MULTI-AG$8,529,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2010MULTI-AG$94,000,000
Zurich American Insurance CompanyZurich Insuranceprice-fixing or anti-competitive practices2006MULTI-AG$171,700,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020MULTI-AG$550,000,000
Nationstar Mortgage dba Mr. CooperMr. Cooper Groupconsumer protection violation2020MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $86,300,000
CitibankCitigroupconsumer protection violation2021MULTI-AG$4,200,000
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021MULTI-AG$500,000
NavientNavientconsumer protection violation2022MULTI-AG$1,850,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyprivacy violation2023MULTI-AG$6,500,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2002MT-FIN$5,000
Buck Consultants, Inc.Arthur J. Gallagher & Co.insurance violation2002MT-FIN$9,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003MT-FIN$2,625,000
Hartford Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2003MT-FIN$30,000
Fortis Insurance Co. et al.Assurantinsurance violation2004MT-FIN$70,000
Fortis Insurance Co.Assurantinsurance violation2004MT-FIN$65,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MT-FIN$25,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006MT-FIN$345,000
UBS Financial Services, Inc.UBSinvestor protection violation2006MT-FIN$4,503,166
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2007MT-FIN$7,500
LPL Financial Corp.LPL Financialinvestor protection violation2009MT-FIN$1,294,416
John Alden Life Insurance Co.Assurantinsurance violation2010MT-FIN$175,000
Time Insurance Co.Haven Holdingsinsurance violation2010MT-FIN$50,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2010MT-FIN$5,000
Edward JonesJones Financialinvestor protection violation2010MT-FIN$100,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2010MT-FIN$25,000
Genworth Life and Annuity Insurance Co.Genworth Financialinsurance violation2011MT-FIN$5,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2012MT-FIN$12,500
LPL Financial LLCLPL Financialinvestor protection violation2012MT-FIN$30,500
Metlife Investors USA Insurance CoMetLifeinvestor protection violation2012MT-FIN$5,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2012MT-FIN$186,439
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2013MT-FIN$50,000
Arch Insurance Co.Arch Capitalinsurance violation2013MT-FIN$29,075
John Hancock Life Insurance Co.Manulife Financialinsurance violation2013MT-FIN$5,000
Travelers Casualty and Surety Co. et al.Travelersinsurance violation2013MT-FIN$5,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2013MT-FIN$50,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2014MT-FIN$38,638
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2015MT-FIN$95,000
John Alden Life Insurance Co. and Time Insurance Co.Assurantinsurance violation2015MT-FIN$1,699,709
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2015MT-FIN$5,000
Unigard Insurance Co.QBE Insuranceinsurance violation2016MT-FIN$25,000
AXA Equitable Life & Annuity Co.Equitable Holdingsinsurance violation2016MT-FIN$5,000
Unigard Insurance Co.QBE Insuranceinsurance violation2016MT-FIN$15,000
Hartford Life Insurance Co. and Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2016MT-FIN$50,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceinsurance violation2016MT-FIN$5,000
HCC Life Insurance Co. and HCC Medical Insurance Services, LLCTokio Marineinsurance violation2017MT-FIN$130,000
Allstate Fire and Casualty Insurance Co. et al.Allstateinsurance violation2017MT-FIN$10,000
Federal Insurance Co.Chubb Limitedinsurance violation2018MT-FIN$20,000
American Income Life Insurance Co.Globe Life Inc.insurance violation2019MT-FIN$15,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2019MT-FIN$25,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MT-FIN$14,700
New York Life Insurance Company and New York Life Insurance and Annuity CorporationNew York Life Insuranceinsurance violation2021MT-FIN$10,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2024MT-FIN$2,000,000
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2020MSHA$6,159
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2014MSHA$8,600
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$5,080
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$5,080
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$18,271
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2019MSHA$5,776
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$25,000
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2021MSHA$6,232
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$11,500
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$41,474
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.