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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$83,354,221,356271
JPMorgan Chase$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
Morgan Stanley$10,167,765,234190

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
Wells Fargo & Co.Wells Fargodiscriminatory practices (non-employment)2019private lawsuit-federal$10,000,000
Travelers Indemnity CompanyTravelersdiscriminatory practices (non-employment)2018private lawsuit-federal$450,000
Wells FargoWells Fargodiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
Wells Fargo Bank, N.A.Wells Fargodiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
Wells Fargo Bank N.A.Wells Fargodiscriminatory practices (non-employment)2011private lawsuit-state$3,520,000
J.P. Morgan ChaseJPMorgan Chasediscriminatory practices (non-employment)2010private lawsuit-federal$1,950,000
HSBC Finance Corporation et al.HSBCdiscriminatory practices (non-employment)2010private lawsuit-federal$6,050,000
John Hancock Life Insurance CompanyManulife Financialdiscriminatory practices (non-employment)2009private lawsuit-federal$24,400,000
Allstate CorporationAllstatediscriminatory practices (non-employment)2007private lawsuit-federal$11,720,000
Liberty National Life Insurance CompanyGlobe Life Inc.discriminatory practices (non-employment)2006private lawsuit-federal$9,350,000
Bank of America, NABank of Americadiscriminatory practices (non-employment)2005private lawsuit-federal$3,670,000
Bank One, KY, N.A.JPMorgan Chasediscriminatory practices (non-employment)2005private lawsuit-federal$6,715,000
U.S. BancorpU.S. Bancorpdiscriminatory practices (non-employment)2005private lawsuit-federal$2,495,000
WFS Financial, Inc.Wells Fargodiscriminatory practices (non-employment)2004private lawsuit-federal$4,550,000
General Motors Acceptance Corp.Ally Financialdiscriminatory practices (non-employment)2004private lawsuit-federal$9,600,000
Cincinnati Life Insurance CompanyCincinnati Financialdiscriminatory practices (non-employment)2004private lawsuit-state$1,900,000
Flagstar BankFlagstar Bancorpdiscriminatory practices (non-employment)2004private lawsuit-federal$1,100,000
American General Life InsuranceAmerican International Groupdiscriminatory practices (non-employment)2000private lawsuit-federal$214,000,000
AmeriSave Mortgage CorporationAmeriSave Mortgageprivacy violation2020private lawsuit-federal$6,250,000
Wells Fargo BankWells Fargowage and hour violation2020private lawsuit-federal$10,928,870
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2020private lawsuit-federal$79,000,000
Wells Fargo Bank, N.A.Wells Fargowage and hour violation2020private lawsuit-federal$25,696,122
Premera Blue CrossPremera Blue Crossprivacy violation2020private lawsuit-federal$74,000,000
U.S. BankU.S. Bancorpprivacy violation2019private lawsuit-federal$2,670,336
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2017private lawsuit-federal$30,446,022
Capital OneCapital One Financialprivacy violation2015private lawsuit-federal$73,000,000
Bank of America CorporationBank of Americaprivacy violation2014private lawsuit-federal$32,083,905
Countrywide Financial Corp.Bank of Americaprivacy violation2010private lawsuit-federal$6,500,000
Wells Fargo & Co.Wells Fargoemployment discrimination2021private lawsuit-federal$18,700,000
TIAA Bank, FSBTIAAwage and hour violation2020private lawsuit-federal$3,500,000
JPMorgan ChaseJPMorgan Chasebenefit plan administrator violation2019private lawsuit-federal$75,000,000
Towers PerrinWillis Towers Watsonbenefit plan administrator violation2011private lawsuit-federal$9,200,000
Fidelity Management Trust CompanyFidelity Investmentsbenefit plan administrator violation2007private lawsuit-federal$10,850,000
Aon Hewitt Health Market Insurance Solutions, Inc.Aonwage and hour violation2021private lawsuit-federal$1,250,000
Edward D. Jones & Co.Jones Financialemployment discrimination2021private lawsuit-federal$58,000,000
Transamerica CorporationAegonbenefit plan administrator violation2021private lawsuit-federal$5,400,000
BlackRock Institutional Trust Company, N.A.BlackRockbenefit plan administrator violation2021private lawsuit-federal$9,650,000
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2021private lawsuit-federal$28,000,000
John Hancock Life Insurance CompanyManulife Financialbenefit plan administrator violation2021private lawsuit-federal$14,000,000
Franklin Resources, Inc.Franklin Resourcesbenefit plan administrator violation2019private lawsuit-federal$13,850,000
Wells Fargo Bank, N.A.Wells Fargowage and hour violation2021private lawsuit-federal$95,696,122
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2021private lawsuit-federal$5,500,000
Kemper Corp.Kemperprivacy violation2022private lawsuit-federal$17,100,000
Santander Bank, N.A.Banco Santanderwage and hour violation2022private lawsuit-federal$4,250,000
Wells Fargo & Co.Wells Fargobenefit plan administrator violation2022private lawsuit-federal$32,500,000
Ocwen Loan Servicing, LLCOcwen Financialprivacy violation2022private lawsuit-federal$1,500,000
Fifth Third BankFifth Third Bancorpprivacy violation2022private lawsuit-federal$50,000,000
T. Rowe Price Group, Inc.T. Rowe Pricebenefit plan administrator violation2022private lawsuit-federal$7,000,000
Countrywide Financial CorporationBank of AmericaWARN Act violation2013private lawsuit-federal$1,200,000
GMAC Mortgage Group, Inc.Ally FinancialWARN Act violation2006private lawsuit-federal$135,000
Capital One BankCapital One Financialprivacy violation2022private lawsuit-federal$95,000,000
Bank of AmericaBank of AmericaFalse Claims Act and related2001AK-AG$35,600,000
MercerMarsh & McLennanaccounting fraud or deficiencies2010AK-AG$500,000,000
Edward D. Jones and Co.,LPJones Financialinvestor protection violation2003AK-DBS$11,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2010AK-DBS$129,131
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010AK-DBS$150,507
UBS Securities LLCUBSinvestor protection violation2010AK-DBS$733,465
UBS Financial Services, Inc.UBSinvestor protection violation2013AK-DBS$64,661
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013AK-DBS$44,370
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014AK-DBS$51,120
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2015AK-DBS$35,000
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2018AK-DBS$11,000
LPL Financial LLCLPL Financialinvestor protection violation2019AK-DBS$499,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2020AK-DBS$10,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AK-DBS$10,527
Principal Life Insurance Co.Principal Financialinsurance violation2002AK-INS$16,095
Aon Risk Services Inc. of WashingtonAoninsurance violation2002AK-INS$5,000
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2006AK-INS$6,530
Liberty Mutual GroupLiberty Mutual Insuranceinsurance violation2007AK-INS$32,500
Principal Life Insurance Co.Principal Financialinsurance violation2008AK-INS$25,000
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2009AK-INS$39,378
Brown & Brown of Washington, Inc.Brown & Browninsurance violation2012AK-INS$30,000
Marsh USA Inc.Marsh & McLennaninsurance violation2015AK-INS$25,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2016AK-INS$10,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2019AK-INS$20,000
Marsh USA Inc.Marsh & McLennaninsurance violation2019AK-INS$30,000
Affinity Insurance Services, Inc.Aoninsurance violation2021AK-INS$35,000
New Hampshire Insurance Co.American International Groupinsurance violation2022AK-INS$7,500
GMAC Mortgage, LLCAlly Financialenvironmental violation2010AL-ENV$5,505
Regions BankRegions Financialbanking violation2014AL-SBD$5,000,000
Prudential Equity Group, Inc.Prudential Financialinvestor protection violation2005AL-SEC$45,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2005AL-SEC$100,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2010AL-SEC$15,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2012AL-SEC$60,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2017AL-SEC$20,000
LPL Financial LLCLPL Financialinvestor protection violation2018AL-SEC$80,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AL-SEC$18,874
Western Sky Financial, CashCall Inc. and WS FundingCashCall Inc.consumer protection violation2016AR-AG$750,000
Encompass Indemnity Co. and Encompass Insurance Company of AmericaAllstateinsurance violation2019AR-INS$40,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2017AR-INS$50,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2013AR-INS$10,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2013AR-INS$5,000
Allied Home Mortgage Capital Corp.Americus Mortgageinvestor protection violation2009AR-SEC$10,000
Merrill Lynch & Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2010AR-SEC$15,000
American Express Prepaid Card Management Corp.American Expressconsumer protection violation2010AR-SEC$20,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2011AR-SEC$5,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2012AR-SEC$59,659
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2013AR-SEC$6,000
CitiMortgage, Inc.Citigroupconsumer protection violation2014AR-SEC$20,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2017AR-SEC$13,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2018AR-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.