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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
Merrill Lynch & Co. Inc.Bank of Americaaccounting fraud or deficiencies2003SEC$80,000,000
Merrill Lynch & Co. Inc.Bank of Americainvestor 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. $100,000,000
Merrill Lynch & Co., Inc.Bank of Americawage and hour violation2008WHD$516,924
Merrill Lynch & Co., Inc.Bank of Americabenefit plan administrator violation2009private lawsuit-federal$75,000,000
Merrill Lynch & Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2010AR-SEC$15,000
Merrill Lynch Commodities Inc.Bank of Americaprice-fixing or anti-competitive practices2019DOJ_CRIMINAL$25,000,000
Merrill Lynch Commodities, Inc.Bank of Americainvestor protection violation2019CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americadata submission deficiencies2007CFTC$500,000
Merrill Lynch Life Insurance CompanyBank of Americainsurance violation2000SC-INS$5,000
MERRILL LYNCH PIERCE FENNER &Bank of Americainvestor protection violation2004VA-SEC$268,723
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005NJ-AG$10,000,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2012IL-SEC$25,930,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005WI-FIN$7,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americaprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americainvestor protection violation2018SEC$8,872,723
Merrill Lynch, Pierce and Fenner & Smith, IncorporatedBank of Americainvestor protection violation2020SEC$325,376
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2018SEC$8,900,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2018SEC$42,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2012FINRA$1,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2005FINRA$14,000,000
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americainvestor protection violation2018SEC$1,404,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2009SEC$7,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2018SEC$15,700,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americabenefit plan administrator violation2011EBSA$170,854
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2006CT-SEC$3,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013DC-DISB$15,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2007IL-SEC$40,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2015MA-SEC$2,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2009MO-SEC$20,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013MO-SEC$2,121,579
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020CT-SEC$400,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020NH-BSR$26,250,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020FINRA$7,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americasecurities issuance or trading violation2018FINRA$5,990,530
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2016FINRA$7,030,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2014FINRA$4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013FINRA$1,373,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2012FINRA$500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2011FINRA$1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2006FINRA$5,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2004FINRA$109,527
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americaanti-money-laundering deficiencies2023FINRA$6,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2015SEC$500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2006SEC$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2000SEC$5,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaanti-money-laundering deficiencies2017SEC$13,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americabenefit plan administrator violation2017private lawsuit-federal$25,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019SEC$8,014,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019CFTC$300,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2018VT-FIN$120,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$280,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$4,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2017FINRA$1,400,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2014FINRA$2,440,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2013FINRA$2,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2004FINRA$250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americatoxic securities abuses2021NM-AG$4,642,857
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2023SEC$9,660,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaconsumer protection violation2015private lawsuit-federal$10,571,428
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaconsumer protection violation2012private lawsuit-federal$11,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaanti-money-laundering deficiencies2023SEC$6,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncBank of Americaeconomic sanction violation2004OFAC$22,904
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009SEC$1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americawage and hour violation2006WHD$7,060
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FL-OFR$10,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2016VA-SEC$11,500
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2016FINRA$5,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2014FINRA$32,400,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2014FINRA$1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2012FINRA$2,800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009FINRA$150,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2008FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FINRA$1,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2001FINRA$15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2000FINRA$97,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2021FINRA$11,650,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2022FINRA$15,200,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2003SEC$200,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$75,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$33,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americainvestor protection violation2016FINRA$2,800,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americaprivacy violation2023NH-BSR$700,000
Merrill, Lynch, Pierce, Fenner and Smith, Inc.Bank of Americainvestor protection violation2010NJ-AG$728,260
MetLifeMetLifewage and hour violation2015private lawsuit-federal$1,970,000
MetLifeMetLifewage and hour violation2013private lawsuit-federal$450,000
MetLifeMetLifewage and hour violation2013private lawsuit-federal$3,003,000
MetLifeMetLifewage and hour violation2011private lawsuit-federal$2,000,000
MetLifeMetLifewage and hour violation2011private lawsuit-federal$2,350,000
MetLifeMetLifewage and hour violation2009private lawsuit-federal$7,400,000
MetLifeMetLifeinsurance violation2012MULTI-AG$40,000,000
MetLifeMetLifeinsurance violation2014NY-DFS$50,000,000
MetLifeMetLifediscriminatory practices (non-employment)2002NY-DFS$160,000,000
MetLife BankMetLifebanking violation2013OCC$78,536,455
MetLife Financial ServicesMetLifelabor relations violation2002NLRB$18,500
MetLife Home Loans LLCMetLifeFalse Claims Act and related2015DOJ_CIVIL$123,500,000
Metlife Human ResourcesMetLifewage and hour violation2014MI-LEO$8,000
MetLife Insurance CompanyMetLifeinsurance violation2019NY-DFS$208,750,000
Metlife Investors USA Insurance CoMetLifeinvestor protection violation2012MT-FIN$5,000
MetLife Investors USA Insurance Co. et al.MetLifeinsurance violation2006MN-FIN$250,000
MetLife Investors USA Insurance Co. et al.MetLifeinsurance violation2012MN-FIN$200,000
MetLife Investors USA Insurance CompanyMetLifeinsurance violation2009NH-INS$54,524
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.