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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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CompanyCurrent Parent sort icon . Primary Offense TypeYearAgencyPenalty Amount
Societe Generale S.A.Societe Generaleeconomic sanction violation2018USAO$717,200,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018OFAC$53,966,916
SG Americas Securities LLC (Societe Generale)Societe Generaleinvestor protection violation2018SEC$800,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2016MULTI-AG$26,750,000
Societe Generale International LimitedSociete Generaleinvestor protection violation2019CFTC$2,500,000
Societe GeneraleSociete Generaleeconomic sanction violation2011OFAC$111,259
Societe GeneraleSociete Generaleeconomic sanction violation2018NY-MANDA$162,800,000
Societe Generale Financial CorporationSociete Generalebanking violation2020CA-DFPI$10,250
Societe Generale SASociete Generaleeconomic sanction violation2018NY-DFS$420,000,000
SG Americas Securities LLCSociete Generaleinvestor protection violation2020SEC$1,550,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2020FINRA$1,550,000
SG Americas Securities, Inc.Societe Generaleinvestor protection violation2013FINRA$675,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2005FINRA$4,478,000
Societe Generale S.A.Societe Generaleinvestor protection violation2021CFTC$1,500,000
SG Americas Securities LLCSociete Generaleprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2020private lawsuit-federal$5,125,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2018private lawsuit-federal$18,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2022private lawsuit-federal$12,500,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2020private lawsuit-federal$975,000
Societe Generale, S.A.Societe Generaleprice-fixing or anti-competitive practices2016private lawsuit-federal$25,412,500
Sallie Mae BankSLM Corp.banking violation2014FDIC$93,300,000
Sallie Mae Inc.SLM Corp.consumer protection violation2014DOJ_RIGHTS$60,000,000
Sallie MaeSLM Corp.consumer protection violation2007NY-AG$2,000,000
Simmons First National BankSimmons First National Corp.employment discrimination2010OFCCP$360,187
Shoko Chukin Bank LtdShoko Chukin Bankprice-fixing or anti-competitive practices2019private lawsuit-federal$6,350,000
Sentry Insurance a Mutual CompanySentry Insurancewage and hour violation2004WHD$46,524
Sentry InsuranceSentry Insuranceconsumer protection violation2014MA-AG$53,430
Sentry Insurance A Mutual Co.Sentry Insuranceinsurance violation2015AZ-DIFI$20,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2005FL-OFR$7,500
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2001MA-INS$14,500
Sentry Insurance a Mutual CompanySentry Insuranceinsurance violation2011MO-INS$5,200
Sentry Insurance a Mutual CompanySentry Insuranceinsurance violation2018MO-INS$15,000
Sentry Select Insurance Co.Sentry Insuranceinsurance violation2018MO-INS$15,000
Dairyland Insurance CompanySentry Insuranceinsurance violation2003SC-INS$5,000
Sentry Insurance GroupSentry Insuranceinsurance violation2015SD-INS$125,000
Sentry InsuranceSentry Insuranceinsurance violation2008TX-INS$5,000
Sentry Insurance, A Mutual CompanySentry Insuranceinsurance violation2010TX-INS$7,200
Sentry Insurance, A Mutual CompanySentry Insuranceinsurance violation2012TX-INS$13,750
Sentry InsuranceSentry Insuranceinsurance violation2014TX-INS$17,731
Sentry InsuranceSentry Insuranceinsurance violation2015TX-INS$20,000
Sentry InsuranceSentry Insuranceinsurance violation2016TX-INS$12,000
Sentry InsuranceSentry Insuranceinsurance violation2019TX-INS$9,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2011UT-INS$6,000
DAIRYLAND INSURANCE COSentry Insuranceinsurance violation2001VA-INS$8,500
Dairyland Insurance CompanySentry Insuranceinsurance violation2013VT-FIN$37,852
Dairyland Insurance Co. and Peak Property and Casualty Insurance Corp.Sentry Insuranceinsurance violation2020VA-INS$140,492
Sentry Select Insurance CompanySentry Insuranceinsurance violation2021WA-INS$5,000
Selective Insurance Company of South Carolina et al.Selective Insurance Groupinsurance violation2016MD-INS$8,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2015MN-FIN$15,000
Selective Insurance Co. of AmericaSelective Insurance Groupinsurance violation2004NJ-DBI$25,000
Selective Insurance Company of New YorkSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Insurance CompaniesSelective Insurance Groupinsurance violation2018NY-DFS$4,666,268
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2005PA-INS$5,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2005PA-INS$5,000
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2014TN-INS$10,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2019TX-INS$6,500
SELECTIVE INSURANCE CO., ET AL.Selective Insurance Groupinsurance violation2010VA-INS$66,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2011VA-INS$8,000
SELECTIVE INSURANCE COMPANY OF AMERICASelective Insurance Groupinsurance violation2017VA-INS$339,333
SELECTIVE INSURANCE CO. ET AL.Selective Insurance Groupinsurance violation2018VA-INS$10,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2019VA-INS$10,137
Selective Insurance Company of the SoutheastSelective Insurance Groupinsurance violation2011WI-INS$5,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2020OR-FIN$10,000
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Insurance Company of the SoutheastSelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2022VA-INS$5,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2020AK-DBS$10,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2009MO-SEC$79,445
Securian Financial Services, Inc.Securian Financialconsumer protection violation2013NE-DBF$5,500
Minnesota Life Insurance CompanySecurian Financialinsurance violation2019OR-FIN$5,000
Securian Financial Services Inc.Securian Financialinvestor protection violation2009TX-SEC$50,000
MINNESOTA LIFE INSURANCE CO.Securian Financialinsurance violation2006VA-INS$18,000
Minnesota Life Insurance Company et al.Securian Financialinsurance violation2016MULTI-FIN$625,000
Minnesota Life Insurance Co.Securian Financialinsurance violation2020CT-INS$9,000
Minnesota Life Insurance CompanySecurian Financialinsurance violation2020CT-INS$7,000
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2013OCC$26,950
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2006OCC$16,500
OZ Management LPSculptor Capital Managementdata submission deficiencies2015SEC$4,250,000
Och-Ziff Capital Management Group LLCSculptor Capital ManagementForeign Corrupt Practices Act2016DOJ_CRIMINAL$213,000,000
Och-Ziff Capital Management GroupSculptor Capital ManagementForeign Corrupt Practices Act2016SEC$199,045,167
Scotia Capital Inc.Scotiabankinvestor protection violation2010CFTC$250,000
Bank of Nova ScotiaScotiabankinvestor protection violation2018CFTC$800,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$50,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$77,400,000
Bank of Nova ScotiaScotiabankprice-fixing or anti-competitive practices2020DOJ_CRIMINAL$60,400,000
Bank of Nova ScotiaScotiabankprice-fixing or anti-competitive practices2022private lawsuit-federal$12,500,000
Bank of Nova ScotiaScotiabankinvestor protection violation2023CFTC$15,000,000
Scotia Capital (USA) Inc.Scotiabankinvestor protection violation2023SEC$7,500,000
Scor Reinsurance CompanySCORinsurance violation2009PA-INS$5,000
SCOR Global Life U.S. Re Insurance CompanySCORinsurance violation2011TX-INS$99,000
SCOR Global Life U.S. Re Insurance Company of TexasSCORinsurance violation2011TX-INS$90,000
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-BKG$10,510
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-SEC$7,500
S&T BANKS&T Bancorpbanking violation2010FDIC$32,640
City National BankRoyal Bank of Canadabanking violation2010OCC$5,250
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2011SEC$30,400,000
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2014CFTC$35,000,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2015SEC$500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.