Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
Company sort icon . Current ParentPrimary Offense TypeYearAgencyPenalty Amount
Buckeye PartnersIFM Investorsrailroad safety violation2011FRA$7,500
Buckeye PartnersIFM Investorsrailroad safety violation2014FRA$50,000
Buckeye PartnersIFM Investorsrailroad safety violation2017FRA$10,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$7,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$6,250
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$10,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$5,000
BUCKEYE PARTNERSIFM Investorsenvironmental violation2009IL-ENV$354,540
BUCKEYE PARTNERSIFM Investorsenvironmental violation2012EPA$463,745
Buckeye Caribbean Terminals, LLCIFM Investorsenvironmental violation2016EPA$9,600
Buckeye Albany Terminals, LLCIFM Investorsenvironmental violation2018NY-ENV$15,750
Buckeye Albany Terminal LLCIFM Investorsenvironmental violation2016NY-ENV$30,000
Buckeye Albany Terminal LLCIFM Investorsenvironmental violation2014NY-ENV$36,000
Bryn Mawr Trust CompanyWSFS Financial Corp.banking violation2021FED$105,000
Brut, LLCNasdaq Inc.investor protection violation2003SEC$45,000
BRUT LLCNasdaq Inc.investor protection violation2006FINRA$2,200,000
Brown Brothers Harriman & Co.Brown Brothers Harrimaninvestor protection violation2014SEC$120,000
Brown Brothers Harriman & Co.Brown Brothers Harrimananti-money-laundering deficiencies2014FINRA$8,000,000
Brown & Brown, Inc.Brown & Brownconsumer protection violation2006FL-AG$5,800,000
Brown & Brown of Washington, Inc.Brown & Browninsurance violation2012AK-INS$30,000
Brown & Brown Insurance of Arizona, Inc.Brown & Browntax violations2014CT-AG$37,650
Brown & Brown Insurance Agency of Virginia, Inc.Brown & Browninsurance violation2006VA-INS$5,000
Brown & BrownBrown & Brownemployment discrimination2017EEOC$100,000
Brothers Property CorporationAmerican Financial Groupwage and hour violation2006WHD$29,273
Broadspire Services, Inc.Crawford & Co.workplace safety or health violation2011MO-AG$28,500
Broadspire Services, Inc.Crawford & Co.insurance violation2017TX-INS$40,000
Broadspire Services Inc.Crawford & Co.insurance violation2016TN-INS$10,000
BROADRIDGE FINANCIAL SOLUTIONS, INC.Broadridge Financial Solutionsworkplace safety or health violation2019OSHA$8,335
BROADRIDGE FINANCIAL SOLUTIONS INCBroadridge Financial Solutionsenvironmental violation2008NJ-ENV$6,500
BROADRIDGE FINANCIAL SOLUTIONSBroadridge Financial Solutionsworkplace safety or health violation2018OSHA$15,522
Bristol West Insurance CompanyZurich Insuranceinsurance violation2004PA-INS$10,000
Bristol West Insurance CompanyZurich Insuranceinsurance violation2011SC-INS$7,500
BRISTOL WEST INSURANCE COMPANYZurich Insuranceinsurance violation2006VA-INS$20,000
Bristol West Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$161,500
Bristol West Insurance Co.Zurich Insuranceinsurance violation2004FL-OFR$26,500
Bristol West Insurance Co.Zurich Insuranceinsurance violation2008ID-INS$5,330
BRISTOL WEST INSURANCE CO.Zurich Insuranceinsurance violation2011VA-INS$75,400
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$27,560
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$91,872
Bristol West Casualty Insurance Co.Zurich Insuranceinsurance violation2017MN-FIN$20,000
Branch Banking and Trust CompanyTruist Financialwage and hour violation2011WHD$12,314
Branch Banking and Trust CompanyTruist Financialinvestor protection violation2016SC-SEC$97,500
Branch Banking and Trust (BB&T)Truist Financialemployment discrimination2010EEOC$24,000
Branch Banking & Trust CorporationTruist Financialcampaign finance violation2001FEC$22,000
Branch Banking & Trust Company (BB&T)Truist FinancialFalse Claims Act and related2016DOJ_CIVIL$83,000,000
Branch Banking & Trust Co.Truist Financialeconomic sanction violation2014OFAC$19,125
BOYD CORPORATIONGoldman Sachsworkplace safety or health violation2019OSHA$6,300
BOYD CORPORATIONGoldman Sachsworkplace safety or health violation2022OSHA$14,917
BOWNE & COMPANY, INC.Chatham Asset Managementworkplace safety or health violation2006OSHA$5,250
Bok Financial Securities, Inc.BOK Financialinvestor protection violation2019SEC$197,801
BOK Financial Securities, Inc.BOK Financialinsurance violation2020CA-INS$5,000
BOK Financial Corporation dba the Bank of AlbuquerqueBOK Financialemployment discrimination2014EEOC$230,000
BOK Financial CorporationBOK Financialinvestor protection violation2016SEC$1,667,720
BofA Securities, Inc.Bank of Americainvestor protection violation2022FINRA$5,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2022SEC$125,000,000
BNY Mellon Shareowner ServicesBank of New York Melloninvestor protection violation2010MA-AG$30,000
BNY Mellon Securities LLCBank of New York Melloninvestor protection violation2011SEC$24,045,447
BNY Mellon Investment Adviser, Inc.Bank of New York Melloninvestor protection violation2022SEC$1,500,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2015SEC$120,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2008FINRA$250,000
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2011TX-SEC$500,000
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2022SEC$956,833
BNY MellonBank of New York MellonForeign Corrupt Practices Act2015SEC$14,800,000
BNY MellonBank of New York Melloninvestor protection violation2017SEC$6,600,000
BNP Paribas USA Inc.BNP Paribasforeign exchange market manipulation2018DOJ_ANTITRUST$90,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasanti-money-laundering deficiencies2019FINRA$15,000,000
BNP Paribas Securities Corp.BNP Paribasinterest rate benchmark manipulation2018CFTC$90,000,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2020SEC$250,000
BNP Paribas SecuritiesBNP Paribasinvestor protection violation2015CFTC$140,000
BNP Paribas S.A.BNP Paribaseconomic sanction violation2015DOJ_CRIMINAL$8,973,600,000
BNP Paribas S.A.BNP Paribasforeign exchange market manipulation2017FED$246,000,000
BNP Paribas S.A.BNP Paribaseconomic sanction violation2014NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,243,400,000
BNP Paribas S.A.BNP Paribasforeign exchange market manipulation2017NY-DFS$350,000,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasdata submission deficiencies2008CFTC$25,000
BNP Paribas (Suisse) SABNP Paribastax violations2015DOJ_TAX$59,783,000
BNP ParibasBNP ParibasFalse Claims Act and related2014DOJ_CIVIL$80,000,000
BNP ParibasBNP Paribaseconomic sanction violation2014NY-DFS(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,240,000,000
BNP ParibasBNP Paribasinvestor protection violation2022CFTC$6,000,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealinvestor protection violation2019SEC$37,980,000
BMO Harris Bank, N.A.Bank of Montrealfraud2018USAO$10,000,000
BMO Harris Bank N.A.Bank of MontrealFamily and Medical Leave Act2015WHD$11,304
BMO Harris BankBank of Montrealemployment discrimination2013EEOC$400,000
BMO FinancialBank of Montrealwage and hour violation2016private lawsuit-federal$700,000
BMO FinancialBank of Montrealwage and hour violation2015private lawsuit-federal$3,900,000
BMO Capital Markets GKST Inc.Piper Sandlerinvestor protection violation2015SEC$250,000
BMO Capital Markets CorporationBank of Montrealinvestor protection violation2019SEC$3,946,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2019SEC$1,950,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2008FINRA$150,000
Blue Shield of California Promise Health PlanCalifornia Physicians' ServiceMedicare Parts C and D Enforcement Action2020CMS$148,506
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2012CA-MHC$50,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2013CA-MHC$120,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2013CA-MHC$5,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2014CA-MHC$75,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2014CA-MHC$9,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2016CA-MHC$5,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2017CA-MHC$7,500
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2017CA-MHC$20,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$65,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$10,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$150,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.