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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
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MULTI-FIN$18,000,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009MULTI-FIN$1,900,000
Western and Southern Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2005MULTI-FIN$2,400,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2020MULTI-FIN$145,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2021MULTI-FIN$5,000,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2022MULTI-FIN$1,950,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2023MULTI-FIN$10,200,000
Raymond James & Associates, Inc. et al.Raymond James Financialinvestor protection violation2023MULTI-FIN$12,450,000
CashCall and Western SkyCashCall Inc.consumer protection violation2016NC-AG$9,000,000
First National Bank of PennsylvaniaF.N.B. Corporationmortgage abuses2024NC-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $13,500,000
Countrywide Home Loans Inc.Bank of Americaconsumer protection violation2008NC-BKG$1,611,500
Western Sky Financial LLC et al.CashCall Inc.consumer protection violation2016NC-BKG$9,275,000
James B. Nutter & CompanyJames B. Nutter & Companyconsumer protection violation2024NC-BKG$10,000
IAC Group North AmericaInvescoenvironmental violation2016NC-ENV$6,751
Provident Life and Accident Insurance Co.Unuminsurance violation2000NC-INS$80,000
Allstate Insurance CompanyAllstateinsurance violation2010NC-INS$680,718
Hartford Life and Annuity Insurance CompanyHartford Financial Servicesinsurance violation2012NC-INS$91,500
American Modern Home Insurance CompanyMunich Reinsurance violation2012NC-INS$1,860,000
Time Insurance CompanyHaven Holdingsinsurance violation2013NC-INS$524,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2020NC-INS$3,635,665
Brown & Brown Insurance Agency of Virginia, Inc.Brown & Browninsurance violation2014NC-INS$7,500
Asset Acceptance, LLCEncore Capital Groupconsumer protection violation2013NC-INS$8,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2010NC-SEC$7,800,000
UBSUBStoxic securities abuses2016NCUA$69,800,000
Credit SuisseUBStoxic securities abuses2016NCUA$50,300,000
Morgan StanleyMorgan Stanleytoxic securities abuses2015NCUA$225,000,000
WachoviaWells Fargotoxic securities abuses2015NCUA$53,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2015NCUA$325,000,000
Royal Bank of Scotland plcNatWest Group PLCtoxic securities abuses2015NCUA$129,600,000
Bank of AmericaBank of Americatoxic securities abuses2013NCUA$165,000,000
HSBCHSBCtoxic securities abuses2012NCUA$5,250,000
CitigroupCitigrouptoxic securities abuses2011NCUA$20,500,000
Deutsche Bank SecuritiesDeutsche Banktoxic securities abuses2011NCUA$145,000,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.Nomuratoxic securities abuses2016NCUA$3,000,000
UBSUBStoxic securities abuses2017NCUA$445,000,000
Conseco Senior Health Insurance CompanyCNO Financialinsurance violation2001ND-INS$5,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2007ND-INS$750,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2009ND-INS$5,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2014ND-INS$10,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022ND-INS$5,000
US Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2001ND-SEC$23,250
Edward D. Jones & Co. LPJones Financialinvestor protection violation2003ND-SEC$7,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2003ND-SEC$12,303
Principal Life Insurance CompanyPrincipal Financialinvestor protection violation2004ND-SEC$30,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004ND-SEC$17,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005ND-SEC$30,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006ND-SEC$17,204
Investment Centers of America Inc.LPL Financialinvestor protection violation2006ND-SEC$6,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2006ND-SEC$8,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006ND-SEC$229,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007ND-SEC$75,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002NE-DBF$5,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2003NE-DBF$20,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2006NE-DBF$12,500
Eaton Vance Income Fund of BostonMorgan Stanleyinvestor protection violation2006NE-DBF$17,000
CitiFinancial, Inc.Citigroupconsumer protection violation2007NE-DBF$81,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2007NE-DBF$10,200
Berthel, Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2007NE-DBF$5,000
American General Financial Services, Inc.OneMain Holdingsconsumer protection violation2008NE-DBF$30,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2008NE-DBF$11,000
Cadaret, Grant & Co., Inc.Atria Wealth Solutionsinvestor protection violation2008NE-DBF$10,000
Household Finance CorpoationHSBCconsumer protection violation2008NE-DBF$55,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$42,850
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$5,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$5,250
CIT GroupFirst Citizens BancSharesconsumer protection violation2009NE-DBF$52,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$29,800
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$24,400
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$11,050
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2009NE-DBF$15,550
Ace Cash Express, Inc.,ACE Cash Expressconsumer protection violation2010NE-DBF$7,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$11,950
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$8,550
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$6,550
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2010NE-DBF$18,350
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$5,400
American Express Travel Related Services Company, Inc.American Expressconsumer protection violation2011NE-DBF$35,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$7,000
Home Loan Center Inc., d/b/a LendingTree LoansLendingTreeconsumer protection violation2012NE-DBF$6,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$5,800
Securian Financial Services, Inc.Securian Financialconsumer protection violation2013NE-DBF$5,500
Ameriprise Financial Services Inc.Ameriprise Financialconsumer protection violation2013NE-DBF$10,000
Edward D. Jones & Co., L.P.Jones Financialconsumer protection violation2013NE-DBF$12,500
Stifel, Nicolaus & Company Inc.Stifel Financialinvestor protection violation2014NE-DBF$61,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2014NE-DBF$18,900
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2015NE-DBF$5,600
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2015NE-DBF$6,100
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2015NE-DBF$5,450
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2015NE-DBF$20,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2015NE-DBF$9,050
Great Plains Specialty Finance, Inc., d/b/a Check 'n goCNG Financialconsumer protection violation2016NE-DBF$5,100
Great Plains Specialty Finance, Inc., d/b/a Check 'n goCNG Financialconsumer protection violation2017NE-DBF$49,600
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2018NE-DBF$9,000
Great Plains Specialty Finance, Inc. d/b/a Check 'n GoCNG Financialconsumer protection violation2019NE-DBF$12,850
Great Plains Specialty Finance, Inc. d/b/a Check 'n GoCNG Financialconsumer protection violation2019NE-DBF$13,500
Solium Financial Services LLCMorgan Stanleyconsumer protection violation2019NE-DBF$14,000
Great Plains Specialty Finance, Inc. dba Check 'n GoCNG Financialconsumer protection violation2020NE-DBF$9,700
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2016NE-DOI$15,000
American Family Insurance CompanyAmerican Family Insuranceinsurance violation2018NE-DOI$15,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.