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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
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$14,264,317,61841
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
Credit Suisse Energy LLCUBSutility service violation2017TX-PUC$7,500
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSinvestor protection violation2011SEC$2,500,000
Credit Suisse AGUBSbanking violation2014FED$100,000,000
Credit Suisse AGUBStax violations2014DOJ_TAX$1,800,000,000
Credit Suisse AGUBSeconomic sanction violation2009DOJ_CRIMINAL$268,000,000
Credit Suisse AGUBSaccounting fraud or deficiencies2016SEC$90,000,000
Credit Suisse AGUBSeconomic sanction violation2009NY-MANDA$268,000,000
Credit Suisse AGUBStax violations2014NY-DFS$715,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2017NY-DFS$135,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$10,989,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$8,875,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2023private lawsuit-federal$13,750,000
Credit Suisse (Hong Kong) LimitedUBSForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
Credit SuisseUBStoxic securities abuses2014FHFA$885,000,000
Credit SuisseUBStoxic securities abuses2016NCUA$50,300,000
Credit SuisseUBSinvestor protection violation2016CFTC$665,000
Credit SuisseUBStoxic securities abuses2017DOJ_CIVIL$5,280,000,000
Credit SuisseUBSinvestor protection violation2021CFTC$1,500,000
Credit SuisseUBSinvestor protection violation2022CFTC$75,000,000
Credit SuisseUBSconsumer protection violation2016private lawsuit-federal$110,000,000
Credit Lyonnais, NYCredit Agricoleeconomic sanction violation2003OFAC$5,500
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2005CFTC$85,000
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2004CFTC$25,000
Credit LyonnaisCredit Agricolefraud2003USAO$100,000,000
Credit Agricole S.A.Credit Agricoleeconomic sanction violation2015FED$90,300,000
Credit Agricole S.A.Credit Agricolebanking violation2004FED$8,000,000
Credit Agricole S.A.Credit Agricoleprice-fixing or anti-competitive practices2022private lawsuit-federal$55,000,000
Credit Agricole Corporate and Investment Bank (CACIB)Credit Agricoleeconomic sanction violation2015USAO$156,000,000
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015OFAC$329,593,585
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015NY-MANDA$156,000,000
Credit Agricole Corporate and Investment BankCredit Agricoleprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Credit Agricole (Suisse) SACredit Agricoletax violations2015DOJ_TAX$99,211,000
Credit AgricoleCredit Agricolebanking violation2004NY-DFS$5,000,000
Credit AgricoleCredit Agricoleeconomic sanction violation2015NY-DFS$385,000,000
Credit Acceptance CorporationCredit Acceptance Corp.insurance violation2018WA-INS$30,000
Credit Acceptance CorporationCredit Acceptance Corp.consumer protection violation2021MA-AG$27,200,000
Credit Acceptance Corp.Credit Acceptance Corp.consumer protection violation2012MO-AG$125,000
Crawford Healthcare Management of Norfolk & BaltimoreCrawford & Co.fraud2003DOJ_CRIMINAL$8,000,000
Crawford and CompanyCrawford & Co.False Claims Act and related2006DOJ_CIVIL$1,363,204
Cowen and Company, LLCToronto-Dominion Bankinvestor protection violation2008FINRA$150,000
Coutts & Co Ltd.Union Bancaire Priveetax violations2019DOJ_TAX$27,900,000
Coutts & Co LtdUnion Bancaire Priveetax violations2015DOJ_TAX$78,484,000
Courier Printing CompanyChatham Asset Managementsolid waste violation2016TN-ENV$8,555
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americatoxic securities abuses2016VA-AG$19,500,000
Countrywide Securities Corp.Bank of Americamortgage abuses2013MA-AG$17,300,000
Countrywide Home Loans, Inc.,Bank of Americaconsumer protection violation2006NY-AG$3,200,000
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LPBank of Americaconsumer protection violation2010FTC$108,000,000
Countrywide Home Loans, Inc.Bank of Americaconsumer protection violation2010IL-BKG$54,000
Countrywide Home Loans Inc.Bank of Americawage and hour violation2015private lawsuit-federal$9,649,000
Countrywide Home Loans Inc.Bank of Americaconsumer protection violation2008NC-BKG$1,611,500
Countrywide Home Loans Inc.Bank of Americaconsumer protection violation2010WA-FIN$650,000
Countrywide Home LoansBank of Americamortgage abuses2008MULTI-AG$8,680,000,000
Countrywide Home LoansBank of Americamortgage abuses2009IN-AG$2,800,000
Countrywide Home LoansBank of Americaair pollution violation2000CA-SCAQMD$5,000
COUNTRYWIDE FINANCIAL CORPORATION,Bank of Americawage and hour violation2008CA-LCO$5,164
Countrywide Financial CorporationBank of Americamortgage abuses2011DOJ_RIGHTS$335,000,000
Countrywide Financial CorporationBank of Americawage and hour violation2004WHD$54,453
Countrywide Financial CorporationBank of Americabenefit plan administrator violation2009private lawsuit-federal$55,000,000
Countrywide Financial CorporationBank of Americamortgage abuses2010MULTI-AG$3,004,100,000
Countrywide Financial CorporationBank of Americamortgage abuses2009OR-AG$1,000,000
Countrywide Financial CorporationBank of Americamortgage abuses2009PA-AG$150,000,000
Countrywide Financial CorporationBank of Americamortgage abuses2009SD-AG$161,805
Countrywide Financial CorporationBank of Americamortgage abuses2009WI-AG$41,100,000
Countrywide Financial CorporationBank of Americamortgage abuses2009WV-AG$340,901
Countrywide Financial CorporationBank of AmericaWARN Act violation2013private lawsuit-federal$1,200,000
Countrywide Financial CorporationBank of Americaconsumer protection violation2013private lawsuit-federal$500,000,000
Countrywide Financial CorporationBank of Americaconsumer protection violation2011private lawsuit-federal$34,000,000
Countrywide Financial Corp.Bank of Americamortgage abuses2009CO-AG$6,000,000
Countrywide Financial Corp.Bank of Americamortgage abuses2009RI-AG$1,146,000
Countrywide Financial Corp.Bank of Americamortgage abuses2008HI-DCCA$84,548,000
Countrywide Financial Corp.Bank of Americaprivacy violation2010private lawsuit-federal$6,500,000
Countrywide FinancialBank of Americawage and hour violation2005private lawsuit-state$30,000,000
Corpus Christi Alumina LLCGlencoreenvironmental violation2021TX-ENV$32,400
Cooperatieve Rabobank U.ARabobankprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
ConvergEx Group LLCToronto-Dominion Bankfraud2014DOJ_CRIMINAL$43,800,000
ConvergEx GroupToronto-Dominion Bankinvestor protection violation2013SEC$107,424,429
Convergex Execution Solutions LLCToronto-Dominion Bankinvestor protection violation2018SEC$2,750,000
CONTINENTAL WESTERN INSURANCE COMPANYW.R. Berkleyinsurance violation2020WA-INS$10,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2019CT-INS$23,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2008KS-INS$10,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2012KS-INS$6,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2007MO-INS$7,708
Continental Western Insurance Co.W.R. Berkleyinsurance violation2014MO-INS$12,000
Continental American Insurance Co.Aflacconsumer protection violation2010MA-AG$25,000
Continental American Insurance Co.Aflacinsurance violation2019CT-INS$10,000
Conseco, Inc.CNO Financialinvestor protection violation2004SEC$15,000,000
Conseco, Inc.CNO Financialinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000
Conseco Senior Health Insurance Company and Bankers Life and Casualty CompanyCNO Financialinsurance violation2008MULTI-FIN$2,342,728
Conseco Senior Health Insurance CompanyCNO Financialinsurance violation2001ND-INS$5,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2009CA-INS$500,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2000FL-OFR$5,500
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2001FL-OFR$22,500
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2004MN-FIN$5,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2008WI-INS$100,000
CONSECO SENIOR HEALTH INS.CNO Financialinsurance violation2005VA-INS$7,500
CONSECO SENIOR & CONSECO LIFECNO Financialinsurance violation2011VA-INS$25,000
Conseco Medical Insurance Co.CNO Financialinsurance violation2009MO-INS$75,018
Conseco Life Insurance CompanyCNO Financialinsurance violation2003OR-FIN$8,300
Conseco Life Insurance CompanyCNO Financialinsurance violation2004SC-INS$6,000
Conseco Life Insurance CompanyCNO Financialinsurance violation2010MULTI-FIN$11,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.