Basic Search
|
Summaries
|
Advanced Search
Violation Tracker Industry Summary Page
Industry: financial services
Penalty Total since 2000: $380,015,282,562
Number of Records: 7,409
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 Companies | Total Penalty $ | Number of Records |
| Bank of America | $87,232,669,824 | 317 |
| JPMorgan Chase | $38,995,638,319 | 266 |
| UBS | $31,045,549,125 | 177 |
| Wells Fargo | $27,482,918,911 | 259 |
| Citigroup | $26,914,836,792 | 178 |
| Deutsche Bank | $19,968,467,563 | 96 |
| Goldman Sachs | $17,469,794,852 | 102 |
| NatWest Group PLC | $14,349,701,618 | 42 |
| Morgan Stanley | $10,535,931,900 | 197 |
| BNP Paribas | $10,363,464,666 | 23 |
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.
Company  . | Current Parent | Primary Offense Type | Year | Agency | Penalty Amount |
| 21st Century National Insurance Company | Zurich Insurance | insurance violation | 2010 | NJ-DBI | $10,000 |
| 21st Century National Insurance Company | Zurich Insurance | insurance violation | 2015 | NY-DFS | $25,000 |
| 21st Century Insurance Co. and 21st Century Casualty Co. | Zurich Insurance | insurance violation | 2007 | CA-INS | $50,000 |
| 21st Century Centennial Insurance Company | Zurich Insurance | insurance violation | 2014 | NY-DFS | $9,000 |
| 21st Century Centennial Insurance Company | Zurich Insurance | insurance violation | 2015 | NY-DFS | $36,500 |
| 21st Century Centennial Insurance Co. | Zurich Insurance | insurance violation | 2016 | DE-INS | $27,500 |
| 1st Financial Bank USA | 1st Financial Bank USA | banking violation | 2010 | FDIC | $10,140,000 |
| 1ST FINANCIAL BANK USA | 1st Financial Bank USA | banking violation | 2009 | FDIC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000 |
| 1st Financial Bank U.S.A. | 1st Financial Bank USA | banking violation | 2005 | WI-AG | $43,142 |
