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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2014FINRA$4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013FINRA$1,373,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2012FINRA$500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2011FINRA$1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2006FINRA$5,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2004FINRA$109,527
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americaanti-money-laundering deficiencies2023FINRA$6,000,000
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americainvestor protection violation2018SEC$1,404,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2018SEC$8,900,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2018SEC$42,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2012FINRA$1,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2005FINRA$14,000,000
Merrill Lynch, Pierce and Fenner & Smith, IncorporatedBank of Americainvestor protection violation2020SEC$325,376
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americainvestor protection violation2018SEC$8,872,723
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005NJ-AG$10,000,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2012IL-SEC$25,930,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005WI-FIN$7,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americaprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
MERRILL LYNCH PIERCE FENNER &Bank of Americainvestor protection violation2004VA-SEC$268,723
Merrill Lynch Life Insurance CompanyBank of Americainsurance violation2000SC-INS$5,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americadata submission deficiencies2007CFTC$500,000
Merrill Lynch Commodities, Inc.Bank of Americainvestor protection violation2019CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000
Merrill Lynch Commodities Inc.Bank of Americaprice-fixing or anti-competitive practices2019DOJ_CRIMINAL$25,000,000
Merrill Lynch & Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2010AR-SEC$15,000
Merrill Lynch & Co., Inc.Bank of Americawage and hour violation2008WHD$516,924
Merrill Lynch & Co., Inc.Bank of Americabenefit plan administrator violation2009private lawsuit-federal$75,000,000
Merrill Lynch & Co. Inc.Bank of Americaaccounting fraud or deficiencies2003SEC$80,000,000
Merrill Lynch & Co. Inc.Bank of Americainvestor protection violation2002MULTI-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
Merrill Lynch & Co.Bank of Americainvestor protection violation2008MULTI-AG$3,458,333,333
Merrill Lynch & Co.Bank of Americainvestor protection violation2013NJ-AG$45,000,000
Merrill LynchBank of Americainvestor protection violation2015SEC$10,900,000
Merrill LynchBank of Americatoxic securities abuses2013SEC$131,800,000
Merrill LynchBank of Americainvestor protection violation2014CFTC$1,200,000
Merrill LynchBank of Americainvestor protection violation2011CFTC$350,000
Merrill LynchBank of Americainvestor protection violation2016SEC$10,000,000
Merrill LynchBank of Americainvestor protection violation2016SEC$415,000,000
Merrill LynchBank of Americainvestor protection violation2011SEC$10,000,000
Merrill LynchBank of Americainvestor protection violation2016SEC$12,500,000
Merrill LynchBank of Americaemployment discrimination2008EEOC$1,550,000
Merrill LynchBank of Americainvestor protection violation2017CFTC$2,500,000
Merrill LynchBank of Americawage and hour violation2016private lawsuit-state$2,645,000
Merrill LynchBank of Americawage and hour violation2016private lawsuit-federal$14,000,000
Merrill LynchBank of Americawage and hour violation2014private lawsuit-federal$6,900,000
Merrill LynchBank of Americawage and hour violation2013private lawsuit-federal$12,000,000
Merrill LynchBank of Americawage and hour violation2013private lawsuit-federal$21,000,000
Merrill LynchBank of Americawage and hour violation2010private lawsuit-federal$43,500,000
Merrill LynchBank of Americawage and hour violation2006private lawsuit-federal$37,000,000
Merrill LynchBank of Americaemployment discrimination2013private lawsuit-federal$38,225,000
Merrill LynchBank of Americaemployment discrimination2013private lawsuit-federal$160,000,000
Merrill LynchBank of Americabenefit plan administrator violation2012private lawsuit-federal$10,000,000
Merrill LynchBank of Americainvestor protection violation2009DE-AG$459,000
Merrill LynchBank of Americainvestor protection violation2002DE-AG$500,000
Merrill LynchBank of Americatoxic securities abuses2009MA-AG$300,000
Merrill LynchBank of Americatoxic securities abuses2008MA-AG$13,700,000
Merrill LynchBank of Americainvestor protection violation2010NJ-AG$4,871,620
Merrill LynchBank of Americainvestor protection violation2002NY-AG$100,000,000
Merrill LynchBank of Americainvestor protection violation2009OH-AG$475,000,000
Merrill LynchBank of Americainvestor protection violation2002NH-BSR$500,000
Merrill LynchBank of Americaprivacy violation2014NH-BSR$400,000
Merrill LynchBank of Americainvestor protection violation2020VT-FIN$125,000
Merrill LynchBank of Americainvestor protection violation2010MULTI-FIN$26,563,094
Merrill LynchBank of Americainvestor protection violation2008MULTI-FIN(*)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
Merrill LynchBank of Americainvestor protection violation2014FINRA$6,000,000
Merrill LynchBank of Americainvestor protection violation2012FINRA$1,074,200
Merrill LynchBank of Americainvestor protection violation2011FINRA$3,000,000
Merrill LynchBank of Americainvestor protection violation2010FINRA$2,500,000
Merrill LynchBank of Americainvestor protection violation2008FINRA$250,000
Mercury Insurance GroupMercury General Corporationinsurance violation2006CA-INS$300,000
Mercury Insurance CompanyMercury General Corporationinsurance violation2015CA-INS$1,000,000
Mercury Insurance Co. and Mercury Casualty Co. and California Automobile Insurance Co.Mercury General Corporationinsurance violation2019CA-INS$41,188,505
Mercury Insurance Co.Mercury General Corporationinsurance violation2006CA-INS$9,000
Mercury Indemnity Company of AmericaMercury General Corporationinsurance violation2018NJ-DBI$25,000
Mercury Casualty CompanyMercury General Corporationinsurance violation2019NY-DFS$31,000
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2007VA-INS$25,600
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2010VA-INS$26,942
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2018VA-INS$173,650
Mercury Casualty CompanyMercury General Corporationinsurance violation2020NY-DFS$11,000
Mercury Casualty Co.Mercury General Corporationinsurance violation2013AZ-DIFI$19,000
Mercury Air Centers, Inc.Macquarielabor relations violation2006NLRB$40,000
Mercury Air Centers Inc.Macquarieemployment discrimination2010EEOC$600,000
Mercury Air CentersMacquarieair pollution violation2011CA-SCAQMD$5,500
Mercury Air CentersMacquarieair pollution violation2006CA-SCAQMD$11,750
Mercury Air CentersMacquarieair pollution violation2006CA-SCAQMD$10,000
Mercer HR Services, LLCMarsh & McLennanwage and hour violation2006WHD$49,474
MercerMarsh & McLennanaccounting fraud or deficiencies2010AK-AG$500,000,000
Mellon Bank, N.A.Bank of New York MellonFalse Claims Act and related2007DOJ_CIVIL$16,500,000
Mellon Bank N.A.Bank of New York Melloneconomic sanction violation2004OFAC$10,400
Mellon Bank N.A.Bank of New York MellonFalse Claims Act and related2006USAO$18,130,405
McGriff, Seibels & Williams of Texas, Inc.Truist Financialeconomic sanction violation2011OFAC$122,408
MBNA Corp.Bank of Americabenefit plan administrator violation2009private lawsuit-federal$4,500,000
MBNA Corp.Bank of Americaconsumer protection violation2001private lawsuit-federal$8,700,000
MBNABank of Americaenvironmental violation2002DE-ENV$225,000
MBIA, Inc.MBIAinvestor protection violation2007NY-AG$25,000,000
MBIA Inc.MBIAaccounting fraud or deficiencies2007SEC$50,000,000
MB FinancialFifth Third Bancorpwage and hour violation2015private lawsuit-federal$800,000
Mastercard International, IncMasterCardwage and hour violation2008WHD$5,777
Mastercard International Inc.MasterCardconsumer protection violation2017CFPB$13,000,000
Mastercard International Inc.MasterCardprice-fixing or anti-competitive practices2008WV-AG$6,400,000
Mastercard International Inc.MasterCardprice-fixing or anti-competitive practices2019private lawsuit-federal$2,100,000,000
Mastercard International Inc.MasterCardprice-fixing or anti-competitive practices2004private lawsuit-federal$1,025,000,000
Mastercard Inc.MasterCardconsumer protection violation2018NM-AG$1,125,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.