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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
Vanguard Group, Inc.Vanguard Groupemployment discrimination2008EEOC$500,000
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2017NY-DFS$25,000
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2021NY-DFS$230,820
Victoria Fire & Casualty Co.Nationwideinsurance violation2003IN-INS$5,000
Victoria Fire & Casualty CompanyNationwideinsurance violation2011WA-INS$5,000
VICTORIA FIRE & CASUALTY ET ALNationwideinsurance violation2003VA-INS$29,000
Victoria Fire & Casualty Insurance CompanyNationwideinsurance violation2010VA-INS$23,558
Victoria Fire & Casualty Insurance CompanyNationwideinsurance violation2016VA-INS$2,236,476
VICTORIA FIRE AND CASUALTY CO.Nationwideinsurance violation2014VA-INS$72,400
VICTORIA FIRE AND CASUALTY INSURANCENationwideinsurance violation2009VA-INS$7,500
Virginia Surety Company IncAssurantinsurance violation2010WA-INS$12,000
Virginia Surety Company Inc.Assurantinsurance violation2010NH-INS$20,000
Virginia Surety Company Inc.Assurantinsurance violation2011TX-INS$200,000
Virginia Surety Company Inc.Assurantinsurance violation2013MULTI-FIN$200,000
Virginia Surety Company, Inc.Assurantinsurance violation2015NY-DFS$10,000
Virginia Surety Company, Inc.Assurantinsurance violation2007OR-FIN$6,100
Virginia Surety Company, Inc.Assurantinsurance violation2008OR-FIN$25,000
Virginia Surety Company, Inc.Assurantinsurance violation2009OR-FIN$10,000
Virginia Surety Company, Inc.Assurantinsurance violation2008TX-INS$7,000
Virtu Americas LLCVirtu Financialinvestor protection violation2019SEC$1,500,000
Visa Inc.Visaconsumer protection violation2018NM-AG$2,270,000
Visa U.S.A. Inc.Visaprice-fixing or anti-competitive practices2019private lawsuit-federal$4,100,000,000
Visa USAVisaprice-fixing or anti-competitive practices2009private lawsuit-federal$100,000,000
Visa USAVisaprice-fixing or anti-competitive practices2004private lawsuit-federal$2,025,000,000
Visa USA Inc.Visaprice-fixing or anti-competitive practices2008WV-AG$6,400,000
VitolVitolenvironmental violation2007CA-ARB$150,000
VitolVitolenvironmental violation2005CA-ARB$20,000
VitolVitolenvironmental violation2017EPA$35,000
Vitol Inc.Vitolenergy market violation2019FERC$2,742,881
Vitol Inc.Vitolfraud2020CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
Vitol Inc.VitolForeign Corrupt Practices Act2020DOJ_CRIMINAL$135,000,000
Vitol Inc.Vitolenergy market violation2024FERC$2,225,000
Vitol Inc.Vitolenvironmental violation2014EPA$30,394
Vitol Inc.Vitolenvironmental violation2016EPA$9,814
Vitol Inc. and Vitol Capital Management Ltd.Vitolinvestor protection violation2010CFTC$6,000,000
Vitol S.A.Vitolenvironmental violation2002CA-ARB$25,000
Vitol S.A., Inc.Vitolenvironmental violation2005EPA$41,600
VITOL SA, INCVitolenvironmental violation2002EPA$95,000
Vitol, Inc.Vitolemployment discrimination2012EEOC$62,500
Vitol, Inc.Vitolenvironmental violation2014CA-ARB$70,000
Vitol, Inc.Vitolenvironmental violation2015EPA$14,047
Vitol, Inc.Vitolenvironmental violation2016EPA$17,934
VITOL, S.A.Vitolkickbacks and bribery2007NY-MANDA$17,500,000
Voya Financial Advisors Inc.Voya Financialinvestor protection violation2018SEC$1,000,000
VOYA Financial Advisors Inc.Voya Financialinvestor protection violation2016FINRA$4,550,000
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2017SEC$3,095,953
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2020SEC$22,919,155
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc.Voya Financialinvestor protection violation2019CT-SEC$1,015,000
Voya Holdings Inc.Voya Financialinvestor protection violation2018SEC$3,600,000
Voya Insurance and Annuity Co. et al.Voya Financialinsurance violation2014MN-FIN$1,250,000
W. R. BERKLEY CORPORATIONW.R. Berkleyworkplace safety or health violation2017OSHA$5,000
W.R. Berkley Corp.W.R. Berkleyinsurance violation2017CA-INS$3,015,000
WachoviaWells Fargotoxic securities abuses2015NCUA$53,000,000
Wachovia BankWells Fargoanti-money-laundering deficiencies2010FINCEN$110,000,000
Wachovia BankWells Fargoeconomic sanction violation2007OFAC$11,000
Wachovia BankWells Fargoeconomic sanction violation2005OFAC$5,500
Wachovia BankWells Fargoeconomic sanction violation2004OFAC$11,000
Wachovia BankWells Fargowage and hour violation2004WHD$5,798,744
Wachovia Bank N.A.Wells Fargoprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$148,000,000
Wachovia Bank N.A.Wells Fargobanking violation2010OCC$50,000,000
Wachovia Bank N.A.Wells Fargoanti-money-laundering deficiencies2010USAO$50,000,000
Wachovia Bank N.A.Wells Fargoprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $58,750,000
Wachovia Bank, National AssociationWells Fargobanking violation2008OCC$168,900,000
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2006MULTI-AG$25,000,000
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2007MULTI-FIN$24,650,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007MD-AG$402,386
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007CT-SEC$258,728
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007FINRA$300,000
Wachovia CorporationWells Fargoinvestor protection violation2004SEC$37,000,000
Wachovia CorporationWells Fargobenefit plan administrator violation2011private lawsuit-federal$12,350,000
Wachovia Financial ServicesWells Fargowage and hour violation2010private lawsuit-federal$450,000
Wachovia National Bank, N.A.Wells Fargobenefit plan administrator violation2000EBSA$30,000,000
Wachovia SecuritiesWells Fargowage and hour violation2009private lawsuit-federal$39,000,000
Wachovia SecuritiesWells Fargobenefit plan administrator violation2009private lawsuit-federal$1,005,000
Wachovia SecuritiesWells Fargoinvestor protection violation2008MULTI-AG$60,000,000
Wachovia SecuritiesWells Fargoinvestor protection violation2009FINRA$4,500,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007ND-SEC$75,000
Wachovia Securities LLCWells Fargoinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007FINRA$2,000,000
Wachovia Securities LLCWells Fargoinvestor protection violation2004FINRA$650,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2004SEC$4,844,465
Wachovia Securities, LLCWells Fargoinvestor protection violation2009DE-AG$309,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2011NJ-AG$3,200,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2010AK-DBS$129,131
Wachovia Securities, LLCWells Fargoinvestor protection violation2008MD-SEC$50,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2009FINRA$1,400,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargoinvestor protection violation2009FINRA$1,100,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010CT-SEC$75,000
Wachovia Securities, LLC.Wells Fargoinvestor protection violation2004FINRA$39,486
Waddell & Reed Inc.Macquarieinvestor protection violation2008OK-SEC$10,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2006SEC$50,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2003FL-OFR$8,800
Waddell & Reed, Inc.Macquarieinvestor protection violation2006MO-SEC$172,161
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MT-FIN$25,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2016NH-BSR$900,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MULTI-FIN$18,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000
Waddell & Reed, LLCMacquarieinvestor protection violation2022SEC$200,000
Walter Investment Management Corp.Ditech Holding CorporationFalse Claims Act and related2015DOJ_CIVIL$29,630,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.