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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
CashCall, Inc.CashCall Inc.consumer protection violation2014WA-FIN$6,390,670
CashCall, Inc. and Western Sky Financial L.L.C.CashCall Inc.payday lending violation2014CT-BKG$400,000
CashCall, Inc. and Western Sky Financial, LLC et al.CashCall Inc.payday lending violation2014MD-FIN$100,018
CashCall, Inc. and WS Funding LLCCashCall Inc.consumer protection violation2022AZ-AG$4,800,000
CashCall, Inc., Western Sky Financial, LLC, WS Funding, LLCCashCall Inc.payday lending violation2016FL-OFR$500,000
CashCall, Inc., WS Funding, LLC, and Delbert Services CorporationCashCall Inc.consumer protection violation2016CO-AG$7,384,005
CATHAY BANKCathay General Bancorpbanking violation2008FDIC$55,500
CATHAY BANKCathay General Bancorpbanking violation2011FDIC$17,710
Catlin Insurance Company Inc.AXAinsurance violation2013SD-INS$5,000
Catlin Insurance Company Inc.AXAinsurance violation2018UT-INS$100,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2007NH-BSR$375,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2006FINRA$850,000
Central Payment Co.Global Payments Inc.consumer protection violation2022private lawsuit-federal$84,000,000
Central Payment Co., LLCGlobal Payments Inc.wage and hour violation2014WHD$29,634
Central Payment Co., LLCGlobal Payments Inc.wage and hour violation2014WHD$13,560
Champion Mortgage and KeyBankKeyCorpwage and hour violation2009private lawsuit-federal$1,200,000
Charles SchwabCharles Schwab Corp.wage and hour violation2014private lawsuit-federal$3,800,000
Charles Schwab & Co, Inc.Charles Schwab Corp.investor protection violation2004FINRA$60,869
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 violation2016TX-SEC$125,000
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. 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 & CompanyCharles Schwab Corp.investor protection violation2013FINRA$500,000
Charles Schwab & Company, Inc.Charles Schwab Corp.investor protection violation2011FINRA$18,000,000
Charles Schwab BankCharles Schwab Corp.discriminatory practices (non-employment)2011HUD$30,000
Charles Schwab Corp.Charles Schwab Corp.consumer protection violation2011private lawsuit-federal$235,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011SEC$118,000,000
Chase BankJPMorgan Chaseconsumer protection violation2006MULTI-AG$3,850,000
Chase BankJPMorgan Chasewage and hour violation2010MI-LEO$15,000
Chase Bank NAJPMorgan Chaseconsumer protection violation2012private lawsuit-federal$100,000,000
Chase Bank USA et al.JPMorgan Chaseprice-fixing or anti-competitive practices2022private lawsuit-federal$19,500,000
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 Bank USA, N.A.JPMorgan Chaseconsumer protection violation2009NY-AG$4,400,000
Chase Bank USA, N.A.JPMorgan Chaseconsumer protection violation2011private lawsuit-federal$7,800,000
Chase Bank USA, N.A.JPMorgan Chaseconsumer protection violation2011private lawsuit-federal$4,900,000
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2013CFPB$329,000,000
Chase Home Finance LLCJPMorgan Chaseconsumer protection violation2012private lawsuit-federal$56,000,000
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$290,262
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$2,000,000
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 Services CorporationJPMorgan Chaseinvestor protection violation2011FINRA$3,600,000
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2006FINRA$500,000
Chase Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Chatham Asset Management LLCChatham Asset Managementinvestor protection violation2023SEC$18,800,000
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
Chevy Chase Bank F.S.B.Capital One Financialmortgage abuses2013DOJ_RIGHTS$2,850,000
Chicago Board Options ExchangeCBOE Holdingsinvestor protection violation2013SEC$6,000,000
Chicago Board Options ExchangeCBOE Holdingsprice-fixing or anti-competitive practices2006private lawsuit-federal$2,468,410
Chicago Insurance Co.Allianzinsurance violation2008FL-OFR$130,000
Chicago Insurance CompanyAllianzinsurance violation2010WA-INS$7,500
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-FIN$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 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 Company,Fidelity National Financialinsurance violation2010CT-INS$62,000
ChubbChubb Limitedprice-fixing or anti-competitive practices2006MULTI-AG$17,000,000
Chubb Group Of CompaniesChubb Limitedinsurance violation2011WA-INS$534,000
Chubb Indemnity CompanyChubb Limitedinsurance violation2014TX-INS$5,725
Chubb Indemnity Insurance Co.Chubb Limitedinsurance violation2002MN-FIN$5,000
Chubb Indemnity Insurance Co.Chubb Limitedinsurance violation2011TX-INS$24,000
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 CompanyChubb Limitedinsurance violation2023TX-INS$8,000
CHUBB INDEMNITY INSURANCE, ET AL.Chubb Limitedinsurance violation2007VA-INS$5,000
Chubb Lloyds Insurance Company of TexasChubb Limitedinsurance violation2018TX-INS$55,000
Chubb Ltd.Chubb Limitedinsurance violation2018NY-DFS$1,300,000
Chubb National Insurance Co.Chubb Limitedinsurance violation2012MO-INS$68,000
Chubb Seguros Mexico, S.A.Chubb Limitedinsurance violation2022TX-INS$100,000
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
CIBC World Markets CorporationCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$496,598
CINCINNATI BELLMacquarielabor relations violation2004NLRB$39,200
CINCINNATI BELL TELEPHONEMacquarieworkplace safety or health violation2012OSHA$13,500
CINCINNATI BELL TELEPHONE A DIVISION OF BROADWINGMacquarielabor relations violation2005NLRB$5,000
Cincinnati Bell Telephone and Cincinnati Bell Information SystemsMacquarieemployment discrimination2000EEOC$1,000,000
Cincinnati Insurance Co.Cincinnati Financialinsurance violation2007FL-OFR$65,000
Cincinnati Insurance Co.Cincinnati Financialinsurance violation2020WA-INS$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.