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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$39,340,688,209275
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
HSBC Bank USA, National AssociationHSBCbanking violation2017OCC$32,500,000
HSBC Bank USA, N.A.HSBCbanking violation2012OCC$500,000,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2007SEC$10,500,000
HSBC Bank USA, N.A.HSBCenvironmental violation2007NY-AG$918,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2019CFTC$650,000
HSBC Bank USA, N.A.HSBCeconomic sanction violation2013OFAC$32,400
HSBC Bank USA, N.A.HSBCinvestor protection violation2023CFTC$45,000,000
HSBC Bank USA, N.A.HSBCconsumer protection violation2014private lawsuit-federal$16,000,000
HSBC Bank USA NAHSBCmortgage abuses2016DOJ$470,000,000
HSBC Bank USA N.A.HSBCFalse Claims Act and related2017USAO$2,118,861
HSBC Bank USA N.A.HSBCprice-fixing or anti-competitive practices2018private lawsuit-federal$14,000,000
HSBC Bank USA N.A.HSBCconsumer protection violation2012private lawsuit-federal$23,500,000
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$8,375
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$11,000
HSBC Bank USAHSBCbenefit plan administrator violation2005private lawsuit-federal$9,350,000
HSBC Bank U.S.A. N.A.HSBCconsumer protection violation2016private lawsuit-state$32,000,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2020private lawsuit-federal$4,750,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2020private lawsuit-federal$11,100,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2020private lawsuit-federal$18,500,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2018private lawsuit-federal$100,000,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2022private lawsuit-federal$42,000,000
HSBC Bank PLCHSBCinvestor protection violation2023CFTC$30,000,000
HSBC BankHSBCprice-fixing or anti-competitive practices2014CFTC$275,000,000
HSBC BankHSBCwage and hour violation2006WHD$7,599
HSBC BankHSBCwage and hour violation2013private lawsuit-federal$15,625,000
HSBC Auto FinanceHSBCwage and hour violation2009private lawsuit-federal$420,000
HSBCHSBCtoxic securities abuses2012NCUA$5,250,000
HSBCHSBCmortgage abuses2014USAO$10,000,000
HSBCHSBCwage and hour violation2007WHD$16,545
HSBCHSBCwage and hour violation2016private lawsuit-federal$6,982,000
HSBCHSBCtoxic securities abuses2018USAO$765,000,000
HSBCHSBCmortgage abuses2016MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $59,500,000
HSBCHSBCconsumer protection violation2016MA-AG$4,000,000
HSBCHSBCconsumer protection violation2015MO-AG$825,000
HSBCHSBCFalse Claims Act and related2020CA-AG$7,000,000
HSBCHSBCemployment discrimination2020NY-NYCCHR$30,000
HSBCHSBCprice-fixing or anti-competitive practices2022private lawsuit-federal$11,000,000
Household InternationalHSBCwage and hour violation2003WHD$54,328
Household InternationalHSBCbenefit plan administrator violation2004private lawsuit-federal$46,500,000
Household Finance CorpoationHSBCconsumer protection violation2008NE-DBF$55,000
Household Finance Corp. of California and Beneficial California, Inc.HSBCmortgage abuses2002CA-DFPI$8,900,000
Household Finance Corp.HSBCmortgage abuses2002MULTI-AG$484,000,000
Horizon Healthcare Services, Inc. and Horizon Healthcare of New Jersey Inc.Horizon Healthcare Servicesinsurance violation2017NJ-DBI$1,500,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesbenefit plan administrator violation2016private lawsuit-federal$33,000,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesprivacy violation2017NJ-AG$1,100,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2010NJ-DBI$500,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$4,233,100
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$100,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2014NJ-DBI$750,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2016NJ-DBI$400,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$250,000
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2017NJ-DBI$291,824
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$1,940,000
Horizon Healthcare of New Jersey Inc.Horizon Healthcare Servicesinsurance violation2003NJ-DBI$200,000
HORACE MANN SERVICE CORPORATIONHorace Mann Educators Corp.benefit plan administrator violation2006EBSA$10,001
Horace Mann Property & Casualty Insurance Co.Horace Mann Educators Corp.insurance violation2019CT-INS$18,000
Horace Mann Insurance Company et al.Horace Mann Educators Corp.insurance violation2021TX-INS$25,000
Horace Mann Insurance CompanyHorace Mann Educators Corp.insurance violation2013VT-FIN$11,007
Horace Mann Insurance CompanyHorace Mann Educators Corp.insurance violation2018WA-INS$10,000
HORACE MANN INSURANCE COMPANYHorace Mann Educators Corp.insurance violation2020WA-INS$5,000
HORACE MANN INSURANCE CO., ET AL.Horace Mann Educators Corp.insurance violation2011VA-INS$48,800
HORACE MANN INSURANCE CO. ET AL.Horace Mann Educators Corp.insurance violation2007VA-INS$42,400
Horace Mann Insurance Co. and Horace Mann Property & Casualty Insurance Co.Horace Mann Educators Corp.insurance violation2007CA-INS$175,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2002MN-FIN$10,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2020MN-FIN$5,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2019MT-FIN$25,000
Homeward Residential, Inc.Ocwen Financialconsumer protection violation2015KY-FIN$10,000
HomeStreet IncHomeStreet Inc.accounting fraud or deficiencies2017SEC$500,000
HomeStreet BankHomeStreet Inc.banking violation2019FDIC$1,350,000
Homesite Insurance GroupAmerican Family Insuranceinsurance violation2016MULTI-FIN$500,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2013MD-INS$20,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2015MD-INS$5,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2011ME-INS$7,500
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2009MN-FIN$15,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2011WA-INS$12,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2012WA-INS$30,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2019WA-INS$15,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2013CA-INS$360,522
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2013RI-FIN$5,000
HOMESITE INSURANCE COMPANYAmerican Family Insuranceinsurance violation2010VA-INS$126,252
HOMESITE INSURANCE COMPANYAmerican Family Insuranceinsurance violation2016VA-INS$94,986
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2020VT-FIN$31,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2021CT-INS$193,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$50,000
HomeSite Insurance Co.American Family Insuranceinsurance violation2016DE-INS$15,000
Homesite Insurance Co.American Family Insuranceinsurance violation2019MN-FIN$5,000
Homesite Indemnity Co.American Family Insuranceinsurance violation2011AZ-DIFI$19,000
Homebridge Financial Services, Inc.Homebridge Financial Servicesconsumer protection violation2017CA-DFPI$80,000
Home Loan Center, Inc. dba Lending Tree LoansLendingTreeconsumer protection violation2008KY-FIN$16,000
Home Loan Center, Inc. dba Lending Tree LoansLendingTreeconsumer protection violation2012MA-BKG$38,000
Home Loan Center, Inc.LendingTreediscriminatory practices (non-employment)2012HUD$15,000
Home Loan Center, Inc.LendingTreeconsumer protection violation2010AZ-AG$1,150,000
Home Loan Center Inc., d/b/a LendingTree LoansLendingTreeconsumer protection violation2012NE-DBF$6,000
Home Loan Center Inc.LendingTreewage and hour violation2009private lawsuit-federal$2,500,000
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsinvestor protection violation2019SEC$810,785
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2016SEC$360,000
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2021SEC$340,193
Highmark, Inc.Highmark Inc.False Claims Act and related2004DOJ_CIVIL$1,500,000
Highmark, Inc.Highmark Inc.campaign finance violation2005FEC$54,078
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.