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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$389,040,962,184
Number of Records: 7,780
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$87,294,669,499330
JPMorgan Chase$39,888,888,209278
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,407,380112
NatWest Group PLC$14,264,317,61841
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
U.S. Bank NAU.S. Bancorpconsumer protection violation2016private lawsuit-federal$14,050,000
U.S. Bank NAU.S. Bancorpconsumer protection violation2015private lawsuit-federal$44,500,000
U.S. Bank NAU.S. Bancorpconsumer protection violation2015private lawsuit-federal$34,500,000
U.S. Bank National AssociationU.S. Bancorpconsumer protection violation2015private lawsuit-federal$6,000,000
Union Bank N.A.U.S. Bancorpconsumer protection violation2012private lawsuit-federal$35,000,000
US Bank N.A.U.S. Bancorpconsumer protection violation2014private lawsuit-federal$55,000,000
UBS Securities LLCUBSconsumer protection violation2015private lawsuit-federal$78,333,333
Unum Life Insurance Company of AmericaUnumconsumer protection violation2016private lawsuit-federal$45,998,014
United Services Automobile AssociationUSAAconsumer protection violation2017private lawsuit-federal$53,200,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2019private lawsuit-federal$13,460,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2019private lawsuit-federal$55,000,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2018private lawsuit-federal$142,000,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2016private lawsuit-federal$25,750,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2013private lawsuit-federal$12,500,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2021private lawsuit-federal$6,945,095
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$750,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$880,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2016private lawsuit-federal$203,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2014private lawsuit-federal$140,500,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2012private lawsuit-federal$6,778,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2012private lawsuit-federal$3,190,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2011private lawsuit-federal$125,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2022private lawsuit-federal$12,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2022private lawsuit-federal$21,864,673
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2021private lawsuit-federal$45,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2020private lawsuit-federal$18,500,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2019private lawsuit-federal$386,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2019private lawsuit-federal$30,000,000
Wells Fargo Merchant Services LLCWells Fargoconsumer protection violation2021private lawsuit-federal$40,000,000
Wells Fargo N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$50,000,000
Western Union Co.Western Unionconsumer protection violation2016private lawsuit-federal$133,000,000
Western Union Co.Western Unionconsumer protection violation2000private lawsuit-federal$375,000,000
Zions Bancorporation dba California Bank & TrustZions Bancorporationconsumer protection violation2022private lawsuit-federal$14,000,000
Zions First National BankZions Bancorporationconsumer protection violation2014private lawsuit-federal$2,500,000
Farmers Insurance CompanyZurich Insuranceconsumer protection violation2011private lawsuit-federal$10,975,000
Commerce Bank NACommerce Bancsharesconsumer protection violation2013private lawsuit-federal$18,300,000
NBT Bank, N.A.NBT Bancorpconsumer protection violation2022private lawsuit-federal$5,747,792
Susquehanna BankTruist Financialconsumer protection violation2014private lawsuit-federal$3,680,000
MUFG Bank, Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2023private lawsuit-federal$750,000
Credit Suisse Group AGUBSprice-fixing or anti-competitive practices2023private lawsuit-federal$550,000
Norinchukin BankNorinchukin Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$449,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2023private lawsuit-federal$2,771,068
Robinhood Financial LLCRobinhood Marketsconsumer protection violation2023private lawsuit-federal$9,900,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$11,900,000
TP ICAP plcTP ICAP PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$2,100,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$13,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2023private lawsuit-federal$13,750,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2023private lawsuit-federal$22,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2023private lawsuit-federal$8,000,000
JPMorgan ChaseJPMorgan Chasesexual exploitation of minors2023private lawsuit-federal$290,000,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$4,900,000
Goldman SachsGoldman Sachsemployment discrimination2023private lawsuit-federal$215,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2023private lawsuit-federal$105,000,000
NatWest Markets PLCNatWest Group PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$21,000,000
Lincoln National Corp.Lincoln Nationalconsumer protection violation2023private lawsuit-federal$109,957,440
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$5,000,000
Cooperatieve Rabobank U.ARabobankprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Royal Bank of CanadaRoyal Bank of Canadaprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Portigon Financial ServicesPortigon Financial Servicesprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
MUFG Bank, Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
Norinchukin BankNorinchukin Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
USAA Casualty Insurance CompanyUSAAconsumer protection violation2023private lawsuit-federal$2,291,738
Navient Solutions LLCNavientconsumer protection violation2023private lawsuit-federal$198,400,000
Bank of AmericaBank of Americawage and hour violation2024private lawsuit-federal$1,890,000
State Farm Fire and Casualty Co.State Farm InsuranceFalse Claims Act and related2022private lawsuit-federal$100,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2024private lawsuit-federal$81,700,000
Wells Fargo Bank N.A.Wells Fargowage and hour violation2024private lawsuit-federal$16,600,000
LendingTree LLCLendingTreeprivacy violation2024private lawsuit-federal$875,000
Allianz Asset Management of AmericaAllianzbenefit plan administrator violation2024private lawsuit-federal$7,500,000
State Farm Life Insurance Co.State Farm Insuranceconsumer protection violation2024private lawsuit-federal$65,000,000
Banner BankBanner Corp.wage and hour violation2024private lawsuit-federal$15,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2024private lawsuit-federal$8,000,000
Nationstar Mortgage LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2024private lawsuit-federal$3,587,214
Allstate Insurance Co.Allstateconsumer protection violation2024private lawsuit-federal$25,000,000
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
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2017AK-DBS$6,500
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.