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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
FITTJE BROS. PRINTING CO.Chatham Asset Managementworkplace safety or health violation2017OSHA$5,000
Fiserv Securities, Inc.Fidelity Investmentsinvestor protection violation2005SEC$15,000,000
FirstBank Puerto RicoFirst Bancorp (Puerto Rico)banking violation2019FDIC$17,700
First USAJPMorgan Chaseconsumer protection violation2002MULTI-AG$1,300,000
First Unum Life Insurance Company of America and Paul Revere Life Insurance CompanyUnumprivacy violation2021NY-DFS$1,800,000
First Unum Life Insurance CompanyUnuminsurance violation2022NY-DFS$1,100,000
First Union Securities, Inc.Wells Fargoinvestor protection violation2000SEC$408,931
First Union Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$350,000
First Union Brokerage Services, Inc.Wells Fargoinvestor protection violation2001FINRA$32,500
First Union BankWells Fargoeconomic sanction violation2004OFAC$18,740
First Union BankWells Fargolabor relations violation2000NLRB$9,116
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2009OCC$100,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2007OCC$125,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2005OCC$180,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2017OCC$1,000,000
First Tennessee Bank NAFirst Horizon Nationalprice-fixing or anti-competitive practices2020private lawsuit-federal$14,500,000
First Tennessee Bank N.A.First Horizon NationalFalse Claims Act and related2015DOJ_CIVIL$212,500,000
First Tennessee BankFirst Horizon Nationaldiscriminatory practices (non-employment)2016HUD$1,900,000
First Republic Investment Management, Inc.JPMorgan Chaseinvestor protection violation2019SEC$1,005,194
First Republic Investment Management, Inc.JPMorgan Chaseinvestor protection violation2022SEC$1,825,953
First Republic BankJPMorgan Chasewage and hour violation2012WHD$1,009,644
FIRST NIAGARA FINANCIAL GROUP, INC.KeyCorpbenefit plan administrator violation2011EBSA$10,001
First Niagara Financial GroupKeyCorpwage and hour violation2013private lawsuit-federal$404,000
First Niagara Bank, National AssociationKeyCorpbanking violation2011OCC$10,000
First Niagara Bank, National AssociationKeyCorpbanking violation2016OCC$2,000,000
First Niagara BankKeyCorpconsumer protection violation2003NY-AG$33,500
FIRST NBC BANKHancock Whitney Corp.benefit plan administrator violation2011EBSA$10,001
First National Bank of PennsylvaniaF.N.B. Corporationbanking violation2015OCC$180,720
First National Bank of PennsylvaniaF.N.B. Corporationconsumer protection violation2013private lawsuit-federal$3,000,000
First National Bank of PennsylvaniaF.N.B. Corporationmortgage abuses2024NC-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $13,500,000
First National Bank of PennsylvaniaF.N.B. Corporationdiscriminatory practices (non-employment)2024DOJ_RIGHTS$13,500,000
First National Bank of OmahaFirst National of Nebraskaconsumer protection violation2016CFPB$32,250,000
First National Bank of OmahaFirst National of Nebraskabanking violation2009OCC$100,000
First National Bank of OmahaFirst National of Nebraskabanking violation2006OCC$25,000
First National Bank of OmahaFirst National of Nebraskabanking violation2005OCC$20,000
First National Bank of OmahaFirst National of Nebraskabanking violation2016OCC$3,000,000
FIRST MIDWEST BANKOld National Bancorpwage and hour violation2018IL-DOL$15,000
First Midwest BankOld National Bancorpbanking violation2022FED$253,500
First Mercury Insurance Co.Fairfax Financial Holdingsinsurance violation2012CA-INS$330,000
First Interstate BankFirst Interstate Bancsystembanking violation2005FED$15,750
First Horizon National CorporationFirst Horizon Nationaltoxic securities abuses2014FHFA$110,000,000
First Horizon National CorporationFirst Horizon Nationalwage and hour violation2004WHD$9,344
First Horizon National CorporationFirst Horizon Nationalbenefit plan administrator violation2012private lawsuit-federal$6,000,000
First Financial Bank, National AssociationFirst Financial Bancorp.banking violation2015OCC$11,700
FIRST FINANCIAL BANCORPFirst Financial Bancorp.benefit plan administrator violation2007EBSA$50,001
FIRST BANKFirst Bancorp (North Carolina)banking violation2004FDIC$12,000
FIRST BANKFirst Bancorp (North Carolina)banking violation2004FDIC$12,000
First BancorpFirst Bancorp (North Carolina)accounting fraud or deficiencies2015SEC$275,000
First BanCorpFirst Bancorp (Puerto Rico)accounting fraud or deficiencies2007SEC$8,500,000
First American Title Insurance Company:First American Financialinsurance violation2014UT-INS$73,000
First American Title Insurance Company of OregonFirst American Financialinsurance violation2008OR-FIN$6,000
First American Title Insurance Company of OregonFirst American Financialinsurance violation2009OR-FIN$18,000
First American Title Insurance Company of LouisianaFirst American Financialinsurance violation2021LA-INS$5,000
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2007HUD$5,000,000
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2005HUD$680,000
First American Title Insurance CompanyFirst American Financialconsumer protection violation2002CA-AG$7,000,000
First American Title Insurance CompanyFirst American Financialinsurance violation2009OR-FIN$61,000
First American Title Insurance CompanyFirst American Financialinsurance violation2016UT-INS$6,500
First American Title Insurance CompanyFirst American Financialprivacy violation2023NY-DFS$1,000,000
First American Title Insurance Co.First American Financialinsurance violation2013CO-INS$177,500
First American Title Insurance Co.First American Financialinsurance violation2019DE-INS$36,000
First American Title Insurance Co.First American Financialinsurance violation2011MD-INS$15,000
First American Title Insurance Co.First American Financialinsurance violation2020MD-INS$52,000
First American Title Insurance Co.First American Financialinsurance violation2007MN-FIN$500,000
First American Title Insurance Co.First American Financialinsurance violation2010MN-FIN$21,750
First American Title Insurance Co.First American Financialinsurance violation2007MO-INS$150,344
First American Title Insurance Co.First American Financialinsurance violation2012MO-INS$34,500
First American Title Insurance Co.First American Financialinsurance violation2012MO-INS$165,000
First American Title insurance Co.First American Financialinsurance violation2020CT-INS$40,000
First American Title Co.First American Financialinsurance violation2021CA-INS$50,000
First American Title Co.First American Financialinsurance violation2021CA-INS$1,185,000
First American Title Co.First American Financialinsurance violation2021CA-INS$55,000
First American TitleFirst American Financialinsurance violation2014IN-INS$12,500
First American TitleFirst American Financialenvironmental violation2006CA-SCAQMD$38,211
First American Financial CorporationFirst American Financialprivacy violation2021SEC$487,616
First American Financial CorporationFirst American Financialprice-fixing or anti-competitive practices2023NY-AG$4,500,000
First American Financial Corp.First American Financialenvironmental violation2002CA-SCAQMD$6,500
Fireman's Fund Insurance Corp.Allianzprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Fireman's Fund Insurance CompanyAllianzFalse Claims Act and related2015DOJ_CIVIL$44,000,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2002MA-INS$20,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2016TX-INS$15,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2022TX-INS$10,000
Fireman's Fund Insurance Co.Allianzinsurance violation2007FL-OFR$5,500
Fireman's Fund Insurance Co.Allianzinsurance violation2015MD-INS$5,000
Fireman' Fund Insurance Co.Allianzinsurance violation2002FL-OFR$13,850
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2015SEC$20,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2013IN-SEC$8,500
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2018FINRA$6,000,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2015FINRA$963,534
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2009FINRA$150,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2009FINRA$1,750,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2023SEC$709,971
Fifth Third Securities Inc.Fifth Third Bancorpinvestor protection violation2023SEC$8,000,000
FIFTH THIRD SECURITIES INCFifth Third Bancorpwage and hour violation2021IL-DOL$12,000
Fifth Third Mortgage Co.Fifth Third Bancorpconsumer protection violation2014WA-FIN$228,626
Fifth Third Financial CorporationFifth Third Bancorpwage and hour violation2014MI-LEO$5,535
FIFTH THIRD BANK, NATIONAL ASSOCIATIONFifth Third Bancorpworkplace safety or health violation2023OSHA$8,500
Fifth Third BankFifth Third Bancorpconsumer protection violation2015CFPB$21,500,000
Fifth Third BankFifth Third Bancorpdiscriminatory practices (non-employment)2006HUD$125,000
Fifth Third BankFifth Third Bancorpemployment discrimination2000OFCCP$440,000
Fifth Third BankFifth Third Bancorpwage and hour violation2017private lawsuit-federal$1,111,388
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.