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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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 icon . Current ParentPrimary Offense TypeYearAgencyPenalty Amount
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 Capital Markets LLCWells Fargoinvestor protection violation2006MULTI-AG$25,000,000
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2007MULTI-FIN$24,650,000
Wachovia Bank, National AssociationWells Fargobanking violation2008OCC$168,900,000
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 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
WachoviaWells Fargotoxic securities abuses2015NCUA$53,000,000
W.R. Berkley Corp.W.R. Berkleyinsurance violation2017CA-INS$3,015,000
W. R. BERKLEY CORPORATIONW.R. Berkleyworkplace safety or health violation2017OSHA$5,000
Voya Insurance and Annuity Co. et al.Voya Financialinsurance violation2014MN-FIN$1,250,000
Voya Holdings Inc.Voya Financialinvestor protection violation2018SEC$3,600,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc.Voya Financialinvestor protection violation2019CT-SEC$1,015,000
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.Voya Financialinvestor protection violation2018SEC$1,000,000
VOYA Financial Advisors Inc.Voya Financialinvestor protection violation2016FINRA$4,550,000
VITOL, S.A.Vitolkickbacks and bribery2007NY-MANDA$17,500,000
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 SA, INCVitolenvironmental violation2002EPA$95,000
Vitol S.A., Inc.Vitolenvironmental violation2005EPA$41,600
Vitol S.A.Vitolenvironmental violation2002CA-ARB$25,000
Vitol Inc. and Vitol Capital Management Ltd.Vitolinvestor protection violation2010CFTC$6,000,000
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.Vitolenvironmental violation2014EPA$30,394
Vitol Inc.Vitolenvironmental violation2016EPA$9,814
VitolVitolenvironmental violation2007CA-ARB$150,000
VitolVitolenvironmental violation2005CA-ARB$20,000
VitolVitolenvironmental violation2017EPA$35,000
Visa USA Inc.Visaprice-fixing or anti-competitive practices2008WV-AG$6,400,000
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 U.S.A. Inc.Visaprice-fixing or anti-competitive practices2019private lawsuit-federal$4,100,000,000
Visa Inc.Visaconsumer protection violation2018NM-AG$2,270,000
Virtu Americas LLCVirtu Financialinvestor protection violation2019SEC$1,500,000
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
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 IncAssurantinsurance violation2010WA-INS$12,000
VICTORIA FIRE AND CASUALTY INSURANCENationwideinsurance violation2009VA-INS$7,500
VICTORIA FIRE AND CASUALTY CO.Nationwideinsurance violation2014VA-INS$72,400
Victoria Fire & Casualty Insurance CompanyNationwideinsurance violation2010VA-INS$23,558
Victoria Fire & Casualty Insurance CompanyNationwideinsurance violation2016VA-INS$2,236,476
VICTORIA FIRE & CASUALTY ET ALNationwideinsurance violation2003VA-INS$29,000
Victoria Fire & Casualty CompanyNationwideinsurance violation2011WA-INS$5,000
Victoria Fire & Casualty Co.Nationwideinsurance violation2003IN-INS$5,000
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2017NY-DFS$25,000
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2021NY-DFS$230,820
Vanguard Group, Inc.Vanguard Groupemployment discrimination2008EEOC$500,000
Vanguard GroupVanguard Groupemployment discrimination2010EEOC$300,000
Vanguard Advisers Inc.Vanguard Groupinvestor protection violation2017PA-BKG$23,480
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2001MA-INS$11,600
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2002MA-INS$24,500
VALIC Financial Advisors, Inc.American International Groupinvestor protection violation2016FINRA$1,750,000
VALIC Financial Advisors Inc.American International Groupinvestor protection violation2020SEC$39,900,000
UVEST Financial Services Group, Inc.LPL Financialinvestor protection violation2013MULTI-FIN$750,000
USAllianz SecuritiesAllianzinvestor protection violation2006FINRA$5,000,000
USAA Life Insurance Company of New YorkUSAAinsurance violation2016NY-DFS$10,000
USAA Life Insurance Co.USAAinsurance violation2007FL-OFR$22,500
USAA Life Insurance Co.USAAinsurance violation2009FL-OFR$50,000
USAA Life Insurance Co.USAAinsurance violation2014MD-INS$9,000
USAA InsuranceUSAAlabor relations violation2005NLRB$125,361
USAA Indemnity Co.USAAinsurance violation2021CT-INS$32,500
USAA General Indemnity CompanyUSAAinsurance violation2018OR-FIN$5,000
USAA General Indemnity CompanyUSAAinsurance violation2016RI-FIN$15,000
USAA General Indemnity Co. et al.USAAinsurance violation2020MD-INS$67,500
USAA Federal Savings BankUSAAconsumer protection violation2019CFPB$15,500,000
USAA Federal Savings BankUSAAconsumer protection violation2003NY-AG$33,500
USAA Federal Savings BankUSAAbanking violation2020OCC$85,000,000
USAA Federal Savings BankUSAAbanking violation2020OCC$382,500
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022OCC$60,000,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022FINCEN$80,000,000
USAA Casualty Insurance Company et al.USAAinsurance violation2021NH-INS$25,000
USAA Casualty Insurance Company et al.USAAinsurance violation2021KS-INS$5,000
USAA Casualty Insurance CompanyUSAAinsurance violation2019RI-FIN$8,000
USAA Casualty Insurance CompanyUSAAinsurance violation2020RI-FIN$12,000
USAA Casualty Insurance Co. et al.USAAinsurance violation2014MD-INS$5,000
USAA Casualty Insurance Co.USAAinsurance violation2014MN-FIN$5,000
USAA Casualty Insurance Co.USAAinsurance violation2015MN-FIN$50,000
USAA Casualty Insurance Co.USAAinsurance violation2010SC-INS$7,000
USAA Casualty Insurance Co.USAAinsurance violation2020OR-FIN$50,000
USAA Casualty Insurance Co.USAAinsurance violation2021CT-INS$36,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.