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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
CATHAY BANKCathay General Bancorpbanking violation2008FDIC$55,500
CATHAY BANKCathay General Bancorpbanking violation2011FDIC$17,710
CashCall, Inc., WS Funding, LLC, and Delbert Services CorporationCashCall Inc.consumer protection violation2016CO-AG$7,384,005
CashCall, Inc., Western Sky Financial, LLC, WS Funding, LLCCashCall Inc.payday lending violation2016FL-OFR$500,000
CashCall, Inc. and WS Funding LLCCashCall Inc.consumer protection violation2022AZ-AG$4,800,000
CashCall, Inc. and Western Sky Financial, LLC et al.CashCall Inc.payday lending violation2014MD-FIN$100,018
CashCall, Inc. and Western Sky Financial L.L.C.CashCall Inc.payday lending violation2014CT-BKG$400,000
CashCall, Inc.CashCall Inc.consumer protection violation2016MN-AG$11,700,000
CashCall, Inc.CashCall Inc.consumer protection violation2017VA-AG$15,335,000
CashCall, Inc.CashCall Inc.payday lending violation2017AZ-DIFI$250,000
CashCall, Inc.CashCall Inc.payday lending violation2015CA-DFPI$1,000,000
CashCall, Inc.CashCall Inc.consumer protection violation2019NH-BKG$188,880
CashCall, Inc.CashCall Inc.consumer protection violation2017OK-DCC$1,000,000
CashCall, Inc.CashCall Inc.consumer protection violation2014WA-FIN$6,390,670
CashCall Inc., WS FundingCashCall Inc.consumer protection violation2017DC-AG$2,962,573
CashCall Inc. et al.CashCall Inc.consumer protection violation2014PA-BKG$1,000,000
CashCall Inc. and WS Funding LLCCashCall Inc.consumer protection violation2019NH-BKG$188,800
CashCall Inc.CashCall Inc.consumer protection violation2014IA-AG$1,500,000
CashCall Inc.CashCall Inc.consumer protection violation2015WV-AG$13,000,000
CashCall Inc.CashCall Inc.consumer protection violation2017SC-FIN$9,650,000
CashCall and Western SkyCashCall Inc.consumer protection violation2016NC-AG$9,000,000
Cash Call Inc. and Western Sky Financial LLCCashCall Inc.consumer protection violation2015WA-FIN$2,000,000
Cash America West, Inc. and First Cash, Inc.FirstCashwage and hour violation2022WA-SOLS$383,873
Cash America International, Inc.FirstCashconsumer protection violation2015KY-FIN$116,998
Cash America International Inc.FirstCashpayday lending violation2013CFPB$19,000,000
Cash America Advance, Inc.FirstCashpayday lending violation2019CA-DFPI$10,000
CASH AMERICAFirstCashworkplace safety or health violation2016OSHA$8,500
CAROLINA CASUALTY INSURANCE COW.R. Berkleyinsurance violation2011VA-INS$10,000
CAROLINA CASUALTY INSURANCE COW.R. Berkleyinsurance violation2012VA-INS$5,000
Carl OstachIFM Investorsenvironmental violation2021EPA$153,637
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2010MD-INS$5,500
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2010MD-INS$50,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2011MD-INS$5,500
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2011MD-INS$6,500
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$22,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$5,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$164,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$5,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$5,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$8,750
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$30,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2013MD-INS$5,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2013MD-INS$8,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2013MD-INS$48,950
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2014MD-INS$6,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2014MD-INS$42,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2015MD-INS$20,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2015MD-INS$20,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2016MD-INS$40,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2016MD-INS$31,100
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2022MD-INS$60,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2022MD-INS$9,000
CareFirst BlueCross BlueShieldCareFirst of Marylandwage and hour violation2022DC-AG$462,041
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2011MD-INS$125,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2011MD-INS$7,500
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2011MD-INS$150,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2012MD-INS$6,168,545
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2012MD-INS$130,700
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2012MD-INS$7,800
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2013MD-INS$5,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2013MD-INS$5,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2013MD-INS$6,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2014MD-INS$42,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2014MD-INS$5,500
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2015MD-INS$7,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2016MD-INS$11,800
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2018MD-INS$20,250
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2018MD-INS$25,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2018MD-INS$5,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2019MD-INS$7,000
CAREFIRST BLUECHOICE, INC.CareFirst of Marylandinsurance violation2004VA-INS$118,000
CAREFIRST BLUECHOICE, INC.CareFirst of Marylandinsurance violation2007VA-INS$120,000
CAREFIRST BLUECHOICE, INC.CareFirst of Marylandinsurance violation2008VA-INS$5,000
CAREFIRST BLUECHOICE, INC.CareFirst of Marylandinsurance violation2011VA-INS$20,000
Carefirst Bluechoice, Inc.CareFirst of Marylandinsurance violation2020VA-INS$90,600
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2022MD-INS$10,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2022MD-INS$14,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2022MD-INS$16,000
CareFirst BlueChoiceCareFirst of Marylandconsumer protection violation2018DC-AG$50,000
CAREFIRST BLUE CHOICE INCCareFirst of Marylandinsurance violation2001VA-INS$12,000
Capital One, National AssociationCapital One Financialbanking violation2014OCC$4,000,000
Capital One, National AssociationCapital One Financialbanking violation2009OCC$125,000
Capital One, National AssociationCapital One Financialanti-money-laundering deficiencies2021FINCEN$290,000,000
CAPITAL ONE NATIONAL ASSOCIATIONCapital One Financialenvironmental violation2010TX-ENV$8,400
Capital One N.A.Capital One Financialconsumer protection violation2012DOJ_RIGHTS$12,000,000
Capital One Financial CorporationCapital One Financialaccounting fraud or deficiencies2013SEC$3,500,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2012OCC$35,000,000
Capital One Bank (USA), National AssociationCapital One Financialanti-money-laundering deficiencies2018OCC$100,000,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2020OCC$80,000,000
Capital One Bank (USA) N.A.Capital One Financialbankruptcy professional violation2011DOJ_UTP$2,350,000
Capital One Bank (U.S.A.), N.A.Capital One Financialconsumer protection violation2012CFPB$165,000,000
Capital One BankCapital One Financialbanking violation2005WI-AG$80,032
Capital One BankCapital One Financialdiscriminatory practices (non-employment)2022DOJ_RIGHTS$49,728
Capital One BankCapital One Financialprivacy violation2022private lawsuit-federal$95,000,000
Capital OneCapital One Financialwage and hour violation2015private lawsuit-federal$3,000,000
Capital OneCapital One Financialwage and hour violation2012private lawsuit-federal$3,200,000
Capital OneCapital One Financialconsumer protection violation2015MO-AG$740,000
Capital OneCapital One Financialprivacy violation2015private lawsuit-federal$73,000,000
Capital City Mortgage CorporationCapital City Bank Groupconsumer protection violation2005FTC$750,000
Capital City BankCapital City Bank Groupbanking violation2007FED$85,045
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2011CFTC$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.