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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$347,398,347,522
Number of Records: 7,169
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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 icon . Current ParentPrimary Offense TypeYearAgencyPenalty Amount
CitibankCitigroupconsumer protection violation2007NY-AG$2,000,000
CitibankCitigroupgambling violation2002NY-AG$100,000
CitibankCitigroupconsumer protection violation2021MULTI-AG$4,200,000
CIT Technology Financing Services, Inc.First Citizens BancSharesconsumer protection violation2005NJ-AG$4,360,000
CIT Technology Financing Services, Inc.First Citizens BancSharesconsumer protection violation2004NY-AG$4,200,000
CIT Group/Equipment Financing, Inc.First Citizens BancSharesconsumer protection violation2005MULTI-AG$10,000,000
CIT Group, Inc., and CIT Bank, N.A., dba OneWest BankFirst Citizens BancSharesdiscriminatory practices (non-employment)2019HUD$7,300,000
CIT Group Inc.First Citizens BancSharesexport control violation2005BIS$74,800
CIT Group Inc.First Citizens BancSharesmortgage abuses2018FED$5,200,000
CIT GroupFirst Citizens BancSharesconsumer protection violation2009NE-DBF$52,000
CIT Bank, National AssociationFirst Citizens BancSharesbanking violation2020OCC$82,500
Cinergy Marketing & Trading, LPBNP Paribasdata submission deficiencies2004CFTC$3,000,000
Cincinnati Life Insurance CompanyCincinnati Financialinsurance violation2004MULTI-FIN$216,750
Cincinnati Life Insurance CompanyCincinnati Financialdiscriminatory practices (non-employment)2004private lawsuit-state$1,900,000
Cincinnati Insurance Company et al.Cincinnati Financialinsurance violation2022WA-INS$5,000
Cincinnati Insurance CompanyCincinnati Financialemployment discrimination2006private lawsuit-federal$537,500
Cincinnati Insurance CompanyCincinnati Financialinsurance violation2018TX-INS$30,000
CINCINNATI INSURANCE COMPANYCincinnati Financialinsurance violation2016VA-INS$54,475
Cincinnati Insurance Co.Cincinnati Financialinsurance violation2007FL-OFR$65,000
Cincinnati Insurance Co.Cincinnati Financialinsurance violation2020WA-INS$5,000
Cincinnati Bell Telephone and Cincinnati Bell Information SystemsMacquarieemployment discrimination2000EEOC$1,000,000
CINCINNATI BELL TELEPHONE A DIVISION OF BROADWINGMacquarielabor relations violation2005NLRB$5,000
CINCINNATI BELL TELEPHONEMacquarieworkplace safety or health violation2012OSHA$13,500
CINCINNATI BELLMacquarielabor relations violation2004NLRB$39,200
CIBC World Markets CorporationCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$496,598
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2008FINRA$350,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2008FINRA$200,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2005FINRA$40,000
Chubb Seguros Mexico, S.A.Chubb Limitedinsurance violation2022TX-INS$100,000
Chubb National Insurance Co.Chubb Limitedinsurance violation2012MO-INS$68,000
Chubb Ltd.Chubb Limitedinsurance violation2018NY-DFS$1,300,000
Chubb Lloyds Insurance Company of TexasChubb Limitedinsurance violation2018TX-INS$55,000
CHUBB INDEMNITY INSURANCE, ET AL.Chubb Limitedinsurance violation2007VA-INS$5,000
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2013TX-INS$7,000
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2014TX-INS$9,000
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2019TX-INS$9,500
Chubb Indemnity Insurance Co.Chubb Limitedinsurance violation2002MN-FIN$5,000
Chubb Indemnity Insurance Co.Chubb Limitedinsurance violation2011TX-INS$24,000
Chubb Indemnity CompanyChubb Limitedinsurance violation2014TX-INS$5,725
Chubb Group Of CompaniesChubb Limitedinsurance violation2011WA-INS$534,000
ChubbChubb Limitedprice-fixing or anti-competitive practices2006MULTI-AG$17,000,000
Chicago Title Insurance Company,Fidelity National Financialinsurance violation2010CT-INS$62,000
Chicago Title Insurance CompanyFidelity National Financialmortgage abuses2005HUD$5,000,000
Chicago Title Insurance CompanyFidelity National Financialinsurance violation2008NJ-DBI$20,000
Chicago Title Insurance CompanyFidelity National Financialinsurance violation2011WA-INS$10,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2017AR-INS$50,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2010AZ-DIFI$10,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2011CA-INS$185,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2015CO-INS$66,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2019DE-INS$8,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2009IN-INS$24,150
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2016MD-INS$5,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2015MN-FIN$10,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2009MO-INS$55,496
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2007MT-INS$7,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2020CT-INS$28,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2020MO-INS$48,500
Chicago Insurance CompanyAllianzinsurance violation2010WA-INS$7,500
Chicago Insurance Co.Allianzinsurance violation2008FL-OFR$130,000
Chicago Board Options ExchangeCBOE Holdingsinvestor protection violation2013SEC$6,000,000
Chevy Chase Bank F.S.B.Capital One Financialmortgage abuses2013DOJ_RIGHTS$2,850,000
Chemoil CorporationGlencoreenvironmental violation2016EPA$27,000,000
Chemoil CorporationGlencorewage and hour violation2013WHD$16,594
CHEMOIL CORPORATIONGlencoreenvironmental violation2016EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $27,000,000
Chase Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2011FINRA$3,600,000
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2006FINRA$500,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$250,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$32,500
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2005FINRA$60,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2004FINRA$250,000
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$290,262
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$2,000,000
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2013CFPB$329,000,000
Chase Bank USA, N.A.JPMorgan Chaseconsumer protection violation2009NY-AG$4,400,000
Chase Bank USA N.A.JPMorgan Chaseconsumer protection violation2015MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $106,000,000
Chase BankJPMorgan Chaseconsumer protection violation2006MULTI-AG$3,850,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011SEC$118,000,000
Charles Schwab BankCharles Schwab Corp.discriminatory practices (non-employment)2011HUD$30,000
Charles Schwab & Company, Inc.Charles Schwab Corp.investor protection violation2011FINRA$18,000,000
Charles Schwab & CompanyCharles Schwab Corp.investor protection violation2013FINRA$500,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2011IL-SEC$8,567,364
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2022SEC$187,000,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2004SEC$350,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2018SEC$2,800,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011CT-SEC$2,800,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2014FINRA$500,000
Charles Schwab & Co. Inc.Charles Schwab Corp.investor protection violation2016TX-SEC$125,000
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2014SEC$61,800
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2015FINRA$2,000,000
Charles Schwab & Co, Inc.Charles Schwab Corp.investor protection violation2004FINRA$60,869
Charles SchwabCharles Schwab Corp.wage and hour violation2014private lawsuit-federal$3,800,000
Champion Mortgage and KeyBankKeyCorpwage and hour violation2009private lawsuit-federal$1,200,000
Central Payment Co., LLCGlobal Payments Inc.wage and hour violation2014WHD$29,634
Central Payment Co., LLCGlobal Payments Inc.wage and hour violation2014WHD$13,560
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2007NH-BSR$375,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2006FINRA$850,000
Catlin Insurance Company Inc.AXAinsurance violation2013SD-INS$5,000
Catlin Insurance Company Inc.AXAinsurance violation2018UT-INS$100,000
CATHAY BANKCathay General Bancorpbanking violation2008FDIC$55,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.