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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $395,312,528,119
Number of Records: 8,003
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$87,320,969,499333
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,618,169,231268
Citigroup$27,081,211,792183
Deutsche Bank$20,015,467,563100
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,924,502,443207
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
CashCall, Inc.CashCall Inc.consumer protection violation2017VA-AG$15,335,000
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2016VA-AG$4,750,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americatoxic securities abuses2016VA-AG$19,500,000
Credit Suisse Securities (USA) LLCUBStoxic securities abuses2016VA-AG$1,200,000
Deutsche Bank Securities Inc.Deutsche Banktoxic securities abuses2016VA-AG$5,621,897
Goldman, Sachs & Co.Goldman Sachstoxic securities abuses2016VA-AG$2,900,000
HSBC Securities (USA) Inc.HSBCtoxic securities abuses2016VA-AG$2,500,000
Morgan Stanley & Co. LLCMorgan Stanleytoxic securities abuses2016VA-AG$6,900,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2016VA-AG$10,000,000
UBS Securities LLCUBStoxic securities abuses2016VA-AG$850,000
Ace American Insurance Co.Chubb Limitedinsurance violation2009UT-INS$141,500
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2011UT-INS$50,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2011UT-INS$29,500
Lincoln National life Insurance CompanyLincoln Nationalinsurance violation2011UT-INS$6,000
Genworth Life and Annuity Insurance CompanyGenworth Financialinsurance violation2011UT-INS$6,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2011UT-INS$6,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2012UT-INS$15,000
United Insurance CompanyKemperinsurance violation2012UT-INS$5,500
Globe Life and Accident Insurance CompanyGlobe Life Inc.insurance violation2013UT-INS$10,000
First American Title Insurance Company:First American Financialinsurance violation2014UT-INS$73,000
Fidelity National Title Insurance Company & Chicago Title Insurance CompanyFidelity National Financialinsurance violation2014UT-INS$222,500
Transamerica Life Insurance CompanyAegoninsurance violation2014UT-INS$45,000
First American Title Insurance CompanyFirst American Financialinsurance violation2016UT-INS$6,500
Liberty Mutual General Insurance CompanyLiberty Mutual Insuranceinsurance violation2016UT-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2016UT-INS$172,250
Liberty Mutual General Insurance CompanyLiberty Mutual Insuranceinsurance violation2016UT-INS$10,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2017UT-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017UT-INS$67,500
Catlin Insurance Company Inc.AXAinsurance violation2018UT-INS$100,000
Lawyers Title CompanyFidelity National Financialinsurance violation2018UT-INS$93,500
Allstate Indemnity CompanyAllstateinsurance violation2018UT-INS$5,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2018UT-INS$39,400
LM General Insurance CompanyLiberty Mutual Insuranceinsurance violation2019UT-INS$70,000
Ace American Insurance CompanyChubb Limitedinsurance violation2021UT-INS$41,500
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2022UT-INS$317,750
Ace American Insurance CompanyChubb Limitedinsurance violation2023UT-INS$79,000
Fifth Third BancorpFifth Third Bancorptoxic securities abuses2015USAO$85,000,000
Bank of New York MellonBank of New York Mellonbanking violation2015USAO$714,000,000
HSBCHSBCmortgage abuses2014USAO$10,000,000
JPMorgan Chase BankJPMorgan Chaseanti-money-laundering deficiencies2014USAO$1,700,000,000
Deutsche Bank AGDeutsche Banktoxic securities abuses2012USAO$202,300,000
Flagstar BankNew York Community Bancorpmortgage abuses2012USAO$132,800,000
Citimortgage Inc.Citigroupmortgage abuses2012USAO$158,300,000
Deutsche Bank AGDeutsche Banktax violations2010USAO$553,633,153
JPMorgan ChaseJPMorgan Chasediscriminatory practices (non-employment)2017USAO$53,000,000
Progressive Casualty Insurance Co. and Progressive Garden State Insurance Co.ProgressiveFalse Claims Act and related2017USAO$2,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2017USAO$44,000,000
ZB N.A. (fka Zions First National Bank)Zions Bancorporationconsumer protection violation2017USAO$3,600,000
Bank of AmericaBank of Americainvestor protection violation2017USAO$2,500,000
Allied Home MortgageAmericus Mortgagefraud2017USAO$296,298,325
Prospect Mortgage Company LLCHomebridge Financial Servicesmortgage abuses2017USAO$4,157,000
HSBC Bank USA N.A.HSBCFalse Claims Act and related2017USAO$2,118,861
Societe Generale S.A.Societe Generaletoxic securities abuses2017USAO$50,000,000
Deutsche BankDeutsche Banktax violations2017USAO$95,000,000
PNC Bank N.A.PNC Financial ServicesFalse Claims Act and related2016USAO$9,500,000
Ally Financial Inc.Ally Financialtoxic securities abuses2016USAO$52,000,000
Credit Agricole Corporate and Investment Bank (CACIB)Credit Agricoleeconomic sanction violation2015USAO$156,000,000
M&T BankM&T Bankanti-money-laundering deficiencies2014USAO$560,000
Ambac Financial Group et al.Ambac Financialtoxic securities abuses2013USAO$101,900,000
Metropolitan Life Insurance CompanyMetLifekickbacks and bribery2010USAO$13,500,000
Wachovia Bank N.A.Wells Fargoanti-money-laundering deficiencies2010USAO$50,000,000
IFCO SystemsTriton Investments Adviserswork visa violations2008USAO$20,700,000
Omega AdvisorsOmega AdvisorsForeign Corrupt Practices Act2007USAO$500,000
The Bank of New YorkBank of New York Mellonanti-money-laundering deficiencies2005USAO$38,000,000
Riggs BankPNC Financial Servicesanti-money-laundering deficiencies2005USAO$16,000,000
AmSouth BancorporationRegions Financialfraud2004USAO$40,000,000
Credit LyonnaisCredit Agricolefraud2003USAO$100,000,000
Republic New York SecuritiesHSBCfraud2001USAO$569,000,000
U.S. BancorpU.S. Bancorpanti-money-laundering deficiencies2018USAO$453,000,000
Barclays Capital, Inc.Barclaystoxic securities abuses2018USAO$2,000,000,000
Rabobank N.A.Rabobankanti-money-laundering deficiencies2018USAO$500,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018USAO$717,200,000
BMO Harris Bank, N.A.Bank of Montrealfraud2018USAO$10,000,000
HSBCHSBCtoxic securities abuses2018USAO$765,000,000
Philadelphia Indemnity Insurance CompanyTokio MarineFalse Claims Act and related2018USAO$30,508
LendingClub CorporationLendingClub Corp.banking violation2018USAO$2,000,000
Mizrahi-Tefahot Bank Ltd.Bank Mizrahi-Tefahottax violations2019USAO$195,000,000
Unum GroupUnumkickbacks and bribery2008USAO$5,550,000
United Bank for Africa PLCUnited Bank for Africa plcobstruction of justice2007USAO$5,334,331
Mellon Bank N.A.Bank of New York MellonFalse Claims Act and related2006USAO$18,130,405
Wells Fargo BankWells FargoFalse Claims Act and related2008USAO$4,046,786
Watson Wyatt & CompanyWillis Towers WatsonFalse Claims Act and related2005USAO$689,828
Travelers Insurance CompanyTravelersFalse Claims Act and related2004USAO$10,900,000
HSBC Private Bank (Suisse) SAHSBCtax violations2019USAO$192,350,000
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020USAO$51,000,000
State Street CorporationState Street Corp.fraud2021USAO$115,000,000
Wells Fargo Bank, N.A.Wells Fargobanking violation2021USAO$72,600,000
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022USAO$5,763,000,000
Wells FargoWells FargoAmericans with Disabilities Act2023USAO$10,000
Nomura Securities InternationalNomurafraud2023USAO$35,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024USAO$153,431,223
James B. Nutter & CompanyJames B. Nutter & CompanyFalse Claims Act and related2024USAO$2,400,000
American Express CompanyAmerican Expressconsumer protection violation2025USAO$138,396,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2000TX-SEC$9,000
Ameritas Investment CorporationAmeritas Mutual Holding Companyinvestor protection violation2003TX-SEC$25,000
Pruco Securities LLCPrudential Financialinvestor protection violation2004TX-SEC$10,000
Ameritrade Inc.Charles Schwab Corp.investor protection violation2007TX-SEC$200,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2008TX-SEC$5,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2008TX-SEC$400,000
LPL Financial CorporationLPL Financialinvestor protection violation2008TX-SEC$5,000
Securian Financial Services Inc.Securian Financialinvestor protection violation2009TX-SEC$50,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.