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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
American Family Insurance CompanyAmerican Family Insuranceinsurance violation2018NE-DOI$15,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2018NE-DOI$7,500
Transamerica Life Insurance CompanyAegoninsurance violation2022NE-DOI$25,000
Navient Corp. and Navient Solutions, LLCNavientconsumer protection violation2022NH-AG$3,590,988
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2012NH-BKG$101,185
Seterus, Inc.Mr. Cooper Groupconsumer protection violation2014NH-BKG$10,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015NH-BKG$75,000
Prosper Funding LLC and Prosper Marketplace, Inc.Prosper Marketplaceconsumer protection violation2016NH-BKG$39,000
CashCall, Inc.CashCall Inc.consumer protection violation2019NH-BKG$188,880
CashCall Inc. and WS Funding LLCCashCall Inc.consumer protection violation2019NH-BKG$188,800
Merrill LynchBank of Americainvestor protection violation2002NH-BSR$500,000
Morgan StanleyMorgan Stanleyinvestor protection violation2004NH-BSR$500,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2005NH-BSR$435,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NH-BSR$7,375,000
ING Life Insurance and Annuity CompanyVoya Financialinvestor protection violation2006NH-BSR$3,000,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2007NH-BSR$375,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008NH-BSR$3,400,000
UBS Financial Services Inc.UBSinvestor protection violation2011NH-BSR$1,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2012NH-BSR$155,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2012NH-BSR$35,000
UBS Financial Services Inc.UBSinvestor protection violation2012NH-BSR$72,500
Edward Jones & Co. LPJones Financialinvestor protection violation2014NH-BSR$750,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2014NH-BSR$140,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2014NH-BSR$90,000
Merrill LynchBank of Americaprivacy violation2014NH-BSR$400,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015NH-BSR$35,000
LPL Financial, LLCLPL Financialinvestor protection violation2015NH-BSR$750,000
Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2016NH-BSR$35,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016NH-BSR$30,800
Waddell & Reed, Inc.Macquarieinvestor protection violation2016NH-BSR$900,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2017NH-BSR$7,500
State Street Bank and Trust CompanyState Street Corp.investor protection violation2018NH-BSR$325,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2018NH-BSR$983,284
Santander Securities, LLCBanco Santanderinvestor protection violation2018NH-BSR$31,562
Berthel Fisher & Company Financial Services, IncBerthel Fisherinvestor protection violation2019NH-BSR$415,407
Santander Securities, LLCBanco Santanderinvestor protection violation2019NH-BSR$50,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2019NH-BSR$325,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NH-BSR$90,000
LPL Financial LLCLPL Financialinvestor protection violation2020NH-BSR$976,000
E*Trade Securities LLCMorgan Stanleyinvestor protection violation2021NH-BSR$5,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020NH-BSR$26,250,000
LPL Financial LLCLPL Financialinvestor protection violation2022NH-BSR$10,307
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americaprivacy violation2023NH-BSR$700,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2023NH-BSR$200,000
Progressive Northern Insurance CompanyProgressiveinsurance violation2006NH-INS$5,000
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2007NH-INS$28,125
John Alden Life Insurance CompanyAssurantinsurance violation2008NH-INS$450,000
Time Insurance CompanyHaven Holdingsinsurance violation2008NH-INS$450,000
MetLife Investors USA Insurance CompanyMetLifeinsurance violation2009NH-INS$54,524
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2010NH-INS$100,000
Virginia Surety Company Inc.Assurantinsurance violation2010NH-INS$20,000
USAA Casualty Insurance Company et al.USAAinsurance violation2021NH-INS$25,000
Scottsdale Insurance Co.Nationwideinsurance violation2021NH-INS$10,579
Old Republic National Title Insurance CompanyOld Republic Internationalinsurance violation2021NH-INS$10,000
Northwestern Mutual Life Insurance CompanyNorthwestern Mutualinsurance violation2023NH-INS$200,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2008NJ-AG$387,000
Allianz Dresdner Asset Management of America LPAllianzinvestor protection violation2004NJ-AG$18,000,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NJ-AG$5,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018NJ-AG$375,000
Banc of America Securities LLCBank of Americainvestor protection violation2010NJ-AG$1,268,393
Bank of New York MellonBank of New York Mellonemployment discrimination2010NJ-AG$188,037
CIT Technology Financing Services, Inc.First Citizens BancSharesconsumer protection violation2005NJ-AG$4,360,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009NJ-AG$3,300,932
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011NJ-AG$1,057,996
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2009NJ-AG$1,057,350
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2011NJ-AG$959,794
GreenSky Servicing LLCGoldman Sachsconsumer protection violation2017NJ-AG$160,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesprivacy violation2017NJ-AG$1,100,000
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2019NJ-AG$100,000
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014NJ-AG$50,460
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2010NJ-AG$1,149,028
LPL Financial, LLCLPL Financialinvestor protection violation2017NJ-AG$975,000
Merrill LynchBank of Americainvestor protection violation2010NJ-AG$4,871,620
Merrill Lynch & Co.Bank of Americainvestor protection violation2013NJ-AG$45,000,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005NJ-AG$10,000,000
Merrill, Lynch, Pierce, Fenner and Smith, Inc.Bank of Americainvestor protection violation2010NJ-AG$728,260
Morgan StanleyMorgan Stanleyinvestor protection violation2011NJ-AG$1,560,000
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2013NJ-AG$100,000
PHH Mortgage CorporationOcwen Financialmortgage abuses2013NJ-AG$6,250,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011NJ-AG$35,000
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2010NJ-AG$51,724
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013NJ-AG$450,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-AG$5,000,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-AG$978,000
UBS Financial Services Inc.UBSinvestor protection violation2006NJ-AG$24,750,000
UBS Securities LLC and UBS Financial Services, IncUBSinvestor protection violation2011NJ-AG$3,790,487
Wachovia Securities, LLCWells Fargoinvestor protection violation2011NJ-AG$3,200,000
Credit Suisse Securities (USA) LLC et al.UBSinvestor protection violation2022NJ-AG$495,000,000
Coinbase, Inc.Coinbase Global Inc.investor protection violation2023NJ-AG$5,000,000
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2023NJ-AG$502,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-BOS$5,000,000
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2010NJ-BOS$5,415,381
Pruco Securities, LLCPrudential Financialinvestor protection violation2013NJ-BOS$100,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2001NJ-DBI$25,100,000
USAA Casualty Insurance and United Services Auto AssociationUSAAinsurance violation2003NJ-DBI$6,200,000
Horizon Healthcare of New Jersey Inc.Horizon Healthcare Servicesinsurance violation2003NJ-DBI$200,000
Allstate Life Insurance Co.Allstateinsurance violation2004NJ-DBI$15,000
AON Risk Services IncAoninsurance violation2004NJ-DBI$10,000
Hanover Insurance Co.Hanover Insuranceinsurance violation2004NJ-DBI$40,000
Selective Insurance Co. of AmericaSelective Insurance Groupinsurance violation2004NJ-DBI$25,000
State Farm Indemnity Co.State Farm Insuranceinsurance violation2004NJ-DBI$35,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.