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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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$14,370,701,61843
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
Indiana Insurance Co.Liberty Mutual Insuranceinsurance violation2000MN-FIN$25,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2018SEC$1,250,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2018SEC$860,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinaprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$3,000,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2019SEC$42,700,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinaanti-money-laundering deficiencies2018FINRA$5,300,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinabanking violation2024FED$2,400,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinabanking violation2024NY-DFS$30,000,000
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020USAO$51,000,000
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020NY-DFS$35,000,000
Infinity Insurance Co.Kemperinsurance violation2012AZ-DIFI$38,000
Infinity Insurance Co.Kemperinsurance violation2011WI-INS$5,000
Infinity Insurance Co. et al.Kemperinsurance violation2005CA-INS$600,000
Infinity Insurance CompaniesKemperinsurance violation2007CA-INS$750,000
INGVoya Financialinvestor protection violation2006MULTI-AG$33,000,000
ING AmericaVoya Financialwage and hour violation2010WHD$21,986
ING America Insurance Holdings Inc.Voya Financialinvestor protection violation2006FINRA$7,000,000
ING Bank N.V.INGeconomic sanction violation2012DOJ_CRIMINAL$619,000,000
ING Bank N.V.INGeconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $619,000,000
ING Bank N.V.INGprice-fixing or anti-competitive practices2022private lawsuit-federal$10,490,000
ING Bank, NVINGeconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $309,500,000
ING Financial Partners, Inc.Voya Financialinvestor protection violation2008IL-SEC$4,677,326
ING Financial Partners, Inc.Voya Financialinvestor protection violation2012MN-FIN$5,000
ING Financial Partners, Inc.Voya Financialinvestor protection violation2004FINRA$200,000
ING Funds DistributorVoya Financialinvestor protection violation2005FINRA$1,500,000
ING Groep N.V.Voya Financialbenefit plan administrator violation2013private lawsuit-federal$3,500,000
ING Groep N.V.Voya Financialinvestor protection violation2013FINRA$1,200,000
ING Life Insurance & Annuity Co.Voya Financialbenefit plan administrator violation2014private lawsuit-federal$14,950,000
ING Life Insurance and Annuity Co.Voya Financialbenefit plan administrator violation2013EBSA$5,200,000
ING Life Insurance and Annuity Co. et al.Voya Financialinsurance violation2012MN-FIN$200,000
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2013MULTI-AG$10,700,000
ING Life Insurance and Annuity CompanyVoya Financialinvestor protection violation2006NH-BSR$3,000,000
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2004OR-FIN$10,000
ING USA Annuity and Life Insurance Co.Voya Financialinsurance violation2007CO-INS$5,000
Insurance Company of North AmericaChubb Limitedinsurance violation2003WA-INS$500,000
Insurance Company of the State of PAAmerican International Groupinsurance violation2002MA-INS$124,532
Insurance Company of the State of PennsylvaniaAmerican International GroupFalse Claims Act and related2016NV-AG$300,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2012OR-FIN$10,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010TX-INS$175,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2018TX-INS$8,500
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2021TX-INS$9,000
Interactive Brokers Corp.Interactive Brokers Groupinvestor protection violation2023SEC$35,000,000
Interactive Brokers Corp. and Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2023CFTC$20,000,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2014SEC$56,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2013CFTC$225,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2012CFTC$700,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2007CFTC$175,000
Interactive Brokers LLCInteractive Brokers Groupanti-money-laundering deficiencies2020CFTC$12,206,214
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2020SEC$11,500,000
Interactive Brokers LLCInteractive Brokers Groupanti-money-laundering deficiencies2020FINRA$15,000,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2018FINRA$5,500,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2017FINRA$450,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2021CFTC$84,320,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022OK-SEC$15,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022CFTC$1,010,828
Interactive Brokers, L.L.C.Interactive Brokers Groupinvestor protection violation2002FINRA$230,000
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2019NJ-AG$100,000
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2013AR-SEC$6,000
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2007OSHA$5,625
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2009OSHA$6,000
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2010OSHA$8,750
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2014OSHA$5,000
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2021OSHA$10,500
INTERNATIONAL AUTOMOTIVE COMPONENTS A/K/A LEAR CORInvescoair pollution violation2012EPA$35,000
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INCInvescoworkplace safety or health violation2007OSHA$5,200
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INCInvescoworkplace safety or health violation2008OSHA$59,000
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2023OSHA$8,766
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA INCInvescoworkplace safety or health violation2015OSHA$6,600
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2021OSHA$16,524
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2022OSHA$15,948
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2022OSHA$36,250
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2023OSHA$11,786
Intesa Sanpaolo S.p.A.Intesa Sanpaoloeconomic sanction violation2013OFAC$2,949,030
Intesa Sanpaolo S.p.A.Intesa Sanpaoloanti-money-laundering deficiencies2016NY-DFS$235,000,000
INTL FCStoneStoneX Groupaccounting fraud or deficiencies2016SEC$150,000
INTL FCStone Financial Inc.StoneX Groupinvestor protection violation2017CFTC$280,000
INTL FCStone Markets, LLCStoneX Groupinvestor protection violation2015CFTC$200,000
Invesco Funds GroupInvescoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $325,000,000
Invesco Funds Group, Inc.Invescoinvestor protection violation2004SEC$325,000,000
Invesco Trust CompanyInvescobenefit plan administrator violation2016EBSA$10,270,000
Investment Centers of America Inc.LPL Financialinvestor protection violation2006ND-SEC$6,000
Investment Centers of America, Inc.LPL Financialinvestor protection violation2007MO-SEC$1,031,618
Investment Centers of America, Inc.LPL Financialinvestor protection violation2005FINRA$363,500
Investment Professionals Inc.Ameriprise Financialinvestor protection violation2014SEC$67,800
Investment Professionals Inc.Ameriprise Financialinsurance violation2014NY-DFS$10,000
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2017MA-SEC$100,000
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2009MO-SEC$52,500
Israel Discount BankIsrael Discount Bankanti-money-laundering deficiencies2006FINCEN$12,000,000
Israel Discount Bank of New YorkIsrael Discount Bankanti-money-laundering deficiencies2005NY-MANDA$8,500,000
Israel Discount Bank of New YorkIsrael Discount Bankanti-money-laundering deficiencies2006NY-DFS$6,000,000
J P Morgan ChaseJPMorgan ChaseFamily and Medical Leave Act2007WHD$5,008
J P Morgan Chase BankJPMorgan Chasewage and hour violation2005WHD$6,688
J P Morgan Securities LLCJPMorgan Chaseinsurance violation2018NY-DFS$11,750
J. P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2000FINRA$200,000
J.P. Morgan ChaseJPMorgan Chasediscriminatory practices (non-employment)2010private lawsuit-federal$1,950,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003SEC$135,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
J.P. Morgan Chase & Co.JPMorgan Chasetoxic securities abuses2013CA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $298,973,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003NY-MANDA$25,000,000
J.P. Morgan Chase & Co. and Forum Temporary ServicesJPMorgan Chaselabor relations violation2006NLRB$60,760
J.P. Morgan Chase Bank, N.A.JPMorgan Chaseanti-money-laundering deficiencies2014FINCEN$461,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.