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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
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americatoxic securities abuses2021NM-AG$4,642,857
NatWest Markets Securities Inc.NatWest Group PLCtoxic securities abuses2021NM-AG$4,642,857
Washington Mutual Mortgage Securities Corp.JPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
Durango Midstream, LLCMorgan Stanleyenvironmental violation2023NM-ENV$34,320
El Paso Electric CompanyJPMorgan Chaseutility administrative violation2010NM-PRC$5,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2015NM-SEC$215,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NM-SEC$6,500
DB Structured Products, Inc.Deutsche Banktoxic securities abuses2013NV-AG$11,500,000
Insurance Company of the State of PennsylvaniaAmerican International GroupFalse Claims Act and related2016NV-AG$300,000
Morgan Stanley Mortgage Capital HoldingsMorgan Stanleytoxic securities abuses2011NV-AG$28,200,000
RBS Financial ProductsNatWest Group PLCtoxic securities abuses2012NV-AG$42,000,000
Western Sky Financial, LLC et al.CashCall Inc.consumer protection violation2013NV-BKG$50,000
Ameritas Investment Co.Ameritas Mutual Holding Companyinvestor protection violation2022NV-SEC$15,000
ACE American Insurance Company ET AL.Chubb LimitedFalse Claims Act and related2010NY-AG$70,000,000
Affinion Group, Inc.JPMorgan Chaseconsumer protection violation2010NY-AG$8,000,000
Alliance Capital ManagementEquitable Holdingsinvestor protection violation2003NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $600,000,000
American Express Co.American Expressconsumer protection violation2003NY-AG$3,285,000
American International GroupAmerican International Groupprice-fixing or anti-competitive practices2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,619,000,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2012NY-AG$850,000
Banc of America Capital Management LLC et al.Bank of Americainvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $375,000,000
Banc One Investment Advisors CorporationJPMorgan Chaseinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,000,000
Bank of America Merrill LynchBank of Americainvestor protection violation2018NY-AG$42,000,000
Bank of New York MellonBank of New York Mellonbanking violation2015NY-AG$167,500,000
Barclays Capital Inc.Barclaysinvestor protection violation2016NY-AG$35,000,000
BB&T Leasing CompanyTruist Financialconsumer protection violation2005NY-AG$159,097
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Chase Bank USA, N.A.JPMorgan Chaseconsumer protection violation2009NY-AG$4,400,000
CIT Technology Financing Services, Inc.First Citizens BancSharesconsumer protection violation2004NY-AG$4,200,000
CitibankCitigroupconsumer protection violation2007NY-AG$2,000,000
CitibankCitigroupgambling violation2002NY-AG$100,000
Citigroup Global Markets, Inc.Citigroupconsumer protection violation2014NY-AG$16,000,000
Citigroup Global Markets, Inc.Citigroupconsumer protection violation2015NY-AG$4,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2017NY-AG$23,500,000
Conseco, Inc.CNO Financialinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000
Countrywide Home Loans, Inc.,Bank of Americaconsumer protection violation2006NY-AG$3,200,000
Credit Suisse SecuritiesUBSinvestor protection violation2016NY-AG$30,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2018NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $10,000,000
DeLage Landen Financial ServicesRabobankconsumer protection violation2004NY-AG$405,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $208,000,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2016NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,000,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000NY-AG$2,000,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2015NY-AG$675,000
Fannie MaeFannie Maeconsumer protection violation2008NY-AG$12,000,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
First Niagara BankKeyCorpconsumer protection violation2003NY-AG$33,500
Five Star BankFinancial Institutions Inc.discriminatory practices (non-employment)2015NY-AG$150,000
FleetBoston Financial Corp.Bank of Americainvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
FleetBoston Financial CorporationBank of Americaprivacy violation2001NY-AG$100,000
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $45,000,000
Freddie MacFreddie Mac (Federal Home Loan Mortgage Corporation)consumer protection violation2008NY-AG$12,000,000
GMAC BankAlly Financialconsumer protection violation2008NY-AG$200,000
Guardian Life Insurance Company of AmericaGuardian Life Insurancediscriminatory practices (non-employment)2009NY-AG$500,000
H&R BlockH&R Blockconsumer protection violation2010NY-AG$12,150,000
H&R BlockH&R Blockconsumer protection violation2008NY-AG$245,000
Healthnow New YorkHighmark Inc.consumer protection violation2016NY-AG$60,000
HealthNow New YorkHighmark Inc.consumer protection violation2005NY-AG$5,000
HealthNow NewYork, Inc.Highmark Inc.consumer protection violation2009NY-AG$212,500
HSBC Bank USA, N.A.HSBCenvironmental violation2007NY-AG$918,000
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004NY-AG$350,000,000
MBIA, Inc.MBIAinvestor protection violation2007NY-AG$25,000,000
Merrill LynchBank of Americainvestor protection violation2002NY-AG$100,000,000
Metropolitan Life Insurance CompanyMetLifeconsumer protection violation2006NY-AG$19,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016NY-AG$550,000,000
Mutual of OmahaMutual of Omahaconsumer protection violation2002NY-AG$10,000
National City Commercial Capital CorporationPNC Financial Servicesconsumer protection violation2006NY-AG$817,700
Nelnet Inc.Nelnetconsumer protection violation2007NY-AG$2,000,000
Nelnet, Inc.Nelnetconsumer protection violation2008NY-AG$200,000
PayPalPayPal Holdingsconsumer protection violation2002NY-AG$200,000
PayPalPayPal Holdingsconsumer protection violation2004NY-AG$150,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006NY-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
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018NY-AG$500,000,000
Sallie MaeSLM Corp.consumer protection violation2007NY-AG$2,000,000
Santander Bank, N.A.Banco Santanderconsumer protection violation2015NY-AG$500,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2007NY-AG$3,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2007NY-AG$23,300,000
UBS Securities LLCUBStoxic securities abuses2018NY-AG$230,000,000
UnumProvident CorporationUnumconsumer protection violation2006NY-AG$17,400,000
US Bank NAU.S. Bancorpconsumer protection violation2003NY-AG$33,500
USAA Federal Savings BankUSAAconsumer protection violation2003NY-AG$33,500
Waddell & Reed, Inc.Macquarieinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Wells FargoWells Fargoconsumer protection violation2004NY-AG$2,900,000
Wells Fargo & CompanyWells Fargoinvestor protection violation2018NY-AG$65,000,000
Wells Fargo Financial BankWells Fargoconsumer protection violation2003NY-AG$33,500
Western Sky Financial, LLCCashCall Inc.consumer protection violation2014NY-AG$1,500,000
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2005NY-AG$50,000,000
Zurich American Insurance Company et al.Zurich InsuranceFalse Claims Act and related2010NY-AG$37,500,000
BGC Financial LPBGC Partnersprice-fixing or anti-competitive practices2019NY-AG$7,500,000
GFI Securities LLCBGC Partnersprice-fixing or anti-competitive practices2019NY-AG$5,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006NY-AG$1,040,964
Old Republic National Title Insurance CompanyOld Republic Internationalwage and hour violation2021NY-AG$1,000,000
TIAA-CREF Individual & Institutional Services, LLCTIAAbenefit plan administrator violation2021NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000
Stewart Title Guaranty CorporationStewart Information Servicesprice-fixing or anti-competitive practices2022NY-AG$2,500,000
First American Financial CorporationFirst American Financialprice-fixing or anti-competitive practices2023NY-AG$4,500,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2000NY-DFS$250,000
CitigroupCitigroupdiscriminatory practices (non-employment)2001NY-DFS$1,000,000
U.S. Trust CorporationBank of Americaanti-money-laundering deficiencies2001NY-DFS$5,000,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2002NY-DFS$8,000,000
Credit AgricoleCredit Agricolebanking violation2004NY-DFS$5,000,000
ABN AMROABN AMROeconomic sanction violation2005NY-DFS$20,000,000
Israel Discount Bank of New YorkIsrael Discount Bankanti-money-laundering deficiencies2006NY-DFS$6,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.