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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
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2004FL-OFR$5,950
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2010IN-SEC$9,000
Protective Life Insurance CompanyDai-ichi Lifeinsurance violation2003MA-INS$30,000
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2014MN-FIN$25,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2015MO-SEC$128,528
Protective Life Insurance CompanyDai-ichi Lifeinsurance violation2014SD-INS$5,000
PROTECTIVE LIFE INSURANCE CO.Dai-ichi Lifeinsurance violation2004VA-INS$10,000
ProEquities, IncDai-ichi Lifeinvestor protection violation2012MULTI-FIN$435,000
Protective Life Insurance Company et al.Dai-ichi Lifeinsurance violation2019MULTI-FIN$350,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2009FINRA$25,000
CITIZENS BUSINESS BANKCVB Financialbanking violation2009FDIC$16,200
Customers BankCustomers Bancorpbanking violation2016FED$960,000
CUNA Mutual Life Insurance Co.CUNA Mutualinsurance violation2007FL-OFR$7,500
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MD-INS$38,000
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2011ME-INS$100,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MN-FIN$15,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MO-INS$81,500
CUNA Brokerage Services Inc.CUNA Mutualinvestor protection violation2014OK-SEC$15,000
CUNA MUTUAL INSURANCE SOCIETYCUNA Mutualinsurance violation2005VA-INS$40,000
CUNA MUTUAL INSURANCE SOCIETYCUNA Mutualinsurance violation2007VA-INS$30,000
CMFG LIFE INSURANCE COMPANYCUNA Mutualinsurance violation2014VA-INS$21,000
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2019VT-FIN$231,000
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2007MULTI-FIN$584,622
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2021VA-INS$7,500
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2001FINRA$100,000
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2021AR-SEC$50,000
Peter Cremer CompanyCremerrailroad safety violation2011FRA$5,000
Peter Cremer CompanyCremerrailroad safety violation2013FRA$8,000
Peter Cremer North AmericaCremerenvironmental violation2013EPA$98,000
Credit Suisse AGCredit Suissebanking violation2014FED$100,000,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2016SEC$54,300,000
Credit Suisse Securities (USA) LLCCredit Suissedata submission deficiencies2015SEC$4,250,000
Credit Suisse Group AGCredit Suisseinvestor protection violation2014SEC$196,000,000
Credit Suisse Securities (USA)Credit Suissetoxic securities abuses2012SEC$120,000,000
Credit SuisseCredit Suissetoxic securities abuses2014FHFA$885,000,000
Credit SuisseCredit Suissetoxic securities abuses2016NCUA$50,300,000
Credit SuisseCredit Suisseinvestor protection violation2016CFTC$665,000
Credit Suisse AGCredit Suissetax violations2014DOJ_TAX$1,800,000,000
Credit Suisse AGCredit Suisseeconomic sanction violation2009DOJ_CRIMINAL$268,000,000
Credit Suisse First Boston LLCCredit Suisseinvestor protection violation2003SEC$200,000,000
Credit Suisse First Boston CorporationCredit Suisseinvestor protection violation2002SEC$100,000,000
Credit Suisse AGCredit Suisseaccounting fraud or deficiencies2016SEC$90,000,000
Credit SuisseCredit Suissetoxic securities abuses2017DOJ_CIVIL$5,280,000,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2017SEC$5,754,714
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCCredit Suisseinvestor protection violation2011SEC$2,500,000
Credit Suisse (Hong Kong) LimitedCredit SuisseForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
Credit Suisse Group AGCredit SuisseForeign Corrupt Practices Act2018SEC$29,700,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2018SEC$5,000,000
Credit Suisse First Boston, LLCCredit Suisseinvestor protection violation2005SEC$200,000
Donaldson, Lufkin & Jenrette Securities Corp.Credit Suisseinvestor protection violation2004SEC$1,000,000
Credit Suisse First Boston Corp.Credit Suisseinvestor 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. $200,000,000
Credit Suisse SecuritiesCredit Suisseinvestor protection violation2016NY-AG$30,000,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2011NJ-AG$1,057,996
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2018NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $10,000,000
Credit Suisse Securities (USA) LLCCredit Suissetoxic securities abuses2016VA-AG$1,200,000
Credit Suisse AGCredit Suisseeconomic sanction violation2009NY-MANDA$268,000,000
Credit Suisse AGCredit Suissetax violations2014NY-DFS$715,000,000
Credit Suisse AGCredit Suisseprice-fixing or anti-competitive practices2017NY-DFS$135,000,000
Credit Suisse First Boston LLCCredit Suisseinvestor protection violation2003MULTI-FIN(*)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
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2008MULTI-FIN$15,000,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2020SEC$600,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2019FINRA$6,500,000
Credit Suisse Securities (USA) LLCCredit Suisseanti-money-laundering deficiencies2016FINRA$16,500,000
Credit Suisse Securities (USA), LLCCredit Suisseinvestor protection violation2014FINRA$5,000,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2011FINRA$1,750,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2011FINRA$4,500,000
Credit Suisse Securities (USA), LLCCredit Suisseinvestor protection violation2009FINRA$275,000
Credit Suisse Securities (USA), LLCCredit Suisseinvestor protection violation2006FINRA$225,000
Credit Suisse First Boston, L.L.C.Credit Suisseinvestor protection violation2004FINRA$50,000
Credit Suisse First Boston LLCCredit Suisseinvestor protection violation2004FINRA$770,000
Credit Suisse First Boston CorporationCredit Suisseinvestor protection violation2002FINRA(*)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
Credit Suisse First Boston CorporationCredit Suisseinvestor protection violation2001FINRA$25,000
CS First Boston Corp.Credit Suisseinvestor protection violation2000FINRA$1,240,000
Credit SuisseCredit Suisseinvestor protection violation2021CFTC$1,500,000
Credit Suisse Group AGCredit Suissefraud2021DOJ_CRIMINAL$175,500,000
Credit Suisse Group AGCredit SuisseForeign Corrupt Practices Act2021SEC$99,000,000
Credit Suisse SecuritiesCredit Suisseinvestor protection violation2022FINRA$9,000,000
Credit Suisse Energy LLCCredit Suisseutility service violation2017TX-PUC$7,500
Credit SuisseCredit Suisseinvestor protection violation2022CFTC$75,000,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2022SEC$125,000,000
Credit Suisse Securities (USA) LLC et al.Credit Suisseinvestor protection violation2022NJ-AG$495,000,000
Credit Suisse AGCredit Suisseprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Credit Suisse AGCredit Suisseprice-fixing or anti-competitive practices2022private lawsuit-federal$10,989,000
Credit Suisse AGCredit Suisseprice-fixing or anti-competitive practices2022private lawsuit-federal$8,875,000
Credit Suisse GroupAGCredit Suisseprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Credit Suisse Securities (USA) LLCCredit Suisseprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Credit Agricole S.A.Credit Agricoleeconomic sanction violation2015FED$90,300,000
Credit Agricole (Suisse) SACredit Agricoletax violations2015DOJ_TAX$99,211,000
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015OFAC$329,593,585
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2005CFTC$85,000
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2004CFTC$25,000
Credit Agricole S.A.Credit Agricolebanking violation2004FED$8,000,000
Credit Lyonnais, NYCredit Agricoleeconomic sanction violation2003OFAC$5,500
Credit Agricole Corporate and Investment Bank (CACIB)Credit Agricoleeconomic sanction violation2015USAO$156,000,000
Credit LyonnaisCredit Agricolefraud2003USAO$100,000,000
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015NY-MANDA$156,000,000
Credit AgricoleCredit Agricolebanking violation2004NY-DFS$5,000,000
Credit AgricoleCredit Agricoleeconomic sanction violation2015NY-DFS$385,000,000
Credit Agricole Corporate and Investment BankCredit Agricoleprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Credit Agricole S.A.Credit Agricoleprice-fixing or anti-competitive practices2022private lawsuit-federal$55,000,000
Credit Acceptance Corp.Credit Acceptance Corp.consumer protection violation2012MO-AG$125,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.