Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $394,610,993,640
Number of Records: 7,983
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$87,299,969,499332
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,617,269,231267
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,909,502,443206
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
THE HENNEGAN COMPANYChatham Asset Managementair pollution violation2004KY-ENV$70,000
Courier Printing CompanyChatham Asset Managementsolid waste violation2016TN-ENV$8,555
R. R. Donnelley & Sons CompanyChatham Asset Managementenvironmental violation2016TX-ENV$10,051
R. R. Donnelley & Sons CoChatham Asset Managementair pollution violation2017CA-SCAQMD$27,500
R. R. Donnelley & Sons Co.Chatham Asset Managementair pollution violation2013CA-SCAQMD$7,500
Chatham Asset Management LLCChatham Asset Managementinvestor protection violation2023SEC$18,800,000
The McClatchy CompanyChatham Asset Managementlabor relations violation2022NLRB$15,482
RR DonnelleyChatham Asset Managementwage and hour violation2021IL-DOL$174,720
RR DonnelleyChatham Asset Managementwage and hour violation2021IL-DOL$174,600
R. R. Donnelley Seymour, Inc.Chatham Asset Managementair pollution violation2024IN-ENV$8,750
R.R. Donnelley & Sons CompanyChatham Asset Managementinvestor protection violation2024SEC$2,125,000
R.R. Donnelley & SonsChatham Asset Managementbenefit plan administrator violation2024private lawsuit-federal$1,175,000
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2002OSHA$55,000
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2004OSHA$5,000
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2001OSHA$5,000
GARNER PRINTINGChatham Asset Managementworkplace safety or health violation2001OSHA$6,000
SPENCER PRESS OF MAINE, INC.Chatham Asset Managementworkplace safety or health violation2001OSHA$10,500
SPENCER PRESS OF MAINE INC.Chatham Asset Managementworkplace safety or health violation2005OSHA$35,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2006OSHA$11,000
BOWNE & COMPANY, INC.Chatham Asset Managementworkplace safety or health violation2006OSHA$5,250
PRO LINE PRINTING, INC.Chatham Asset Managementworkplace safety or health violation2007OSHA$5,000
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2007OSHA$5,100
R R DONNELLEYChatham Asset Managementworkplace safety or health violation2009OSHA$7,500
RR DONNELLEY INCChatham Asset Managementworkplace safety or health violation2012OSHA$7,750
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2010OSHA$12,600
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2010OSHA$11,600
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2012OSHA$5,950
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2011OSHA$6,400
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2011OSHA$12,435
RR DONNELLEY RENO OFFSETChatham Asset Managementworkplace safety or health violation2011OSHA$5,024
THEO. DAVIS SONS, INCORPORATEDChatham Asset Managementworkplace safety or health violation2013OSHA$6,750
RR DONNELLY COMPANYChatham Asset Managementworkplace safety or health violation2012OSHA$17,000
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2013OSHA$15,400
R. R. DONNELLEY AND SONS COMPANYChatham Asset Managementworkplace safety or health violation2013OSHA$7,000
RR DONNELLEY ATLANTAChatham Asset Managementworkplace safety or health violation2014OSHA$6,352
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2014OSHA$6,510
ANDERSON LAChatham Asset Managementworkplace safety or health violation2014OSHA$19,875
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2015OSHA$5,000
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2015OSHA$7,000
THE MCCLATCHY COMPANYChatham Asset Managementworkplace safety or health violation2015OSHA$13,500
RR DONNELLEY AND SONS INC.Chatham Asset Managementworkplace safety or health violation2015OSHA$10,500
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2015OSHA$5,500
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$6,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$15,400
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$12,934
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2016OSHA$10,000
THE KANSAS CITY STARChatham Asset Managementworkplace safety or health violation2016OSHA$23,696
FITTJE BROS. PRINTING CO.Chatham Asset Managementworkplace safety or health violation2017OSHA$5,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2022OSHA$12,327
R. R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2023OSHA$5,125
RR DONNELLEY AND SONS, INC.Chatham Asset Managementworkplace safety or health violation2023OSHA$22,584
R. R. DONNELLEY AND SONS COMPANYChatham Asset Managementenvironmental violation2001EPA$11,344
TOPS PRODUCTS, A DIVISION OF R.R. DONNELLEY & SONSChatham Asset Managementenvironmental violation2015EPA$318,000
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2011SEC$10,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011SEC$118,000,000
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2014SEC$61,800
TD AmeritradeCharles Schwab Corp.investor protection violation2014SEC$100,800
ScottradeCharles Schwab Corp.investor protection violation2014SEC$2,500,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2008SEC$950,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2004SEC$350,000
Charles Schwab BankCharles Schwab Corp.discriminatory practices (non-employment)2011HUD$30,000
Charles SchwabCharles Schwab Corp.wage and hour violation2014private lawsuit-federal$3,800,000
TD AmeritradeCharles Schwab Corp.wage and hour violation2009private lawsuit-federal$2,500,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2018SEC$2,800,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2018SEC$500,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009MULTI-AG$456,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2015MA-AG$160,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011CT-SEC$2,800,000
Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009DE-SEC$40,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2011IL-SEC$8,567,364
Ameritrade Inc.Charles Schwab Corp.investor protection violation2007TX-SEC$200,000
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2015TX-SEC$400,000
Scottrade Inc.Charles Schwab Corp.investor protection violation2016TX-SEC$100,000
Charles Schwab & Co. Inc.Charles Schwab Corp.investor protection violation2016TX-SEC$125,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2015FINRA$2,600,000
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2015FINRA$2,000,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2015FINRA$300,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2014FINRA$500,000
TD Ameritrade Clearing, Inc.Charles Schwab Corp.investor protection violation2013FINRA$1,150,000
Charles Schwab & CompanyCharles Schwab Corp.investor protection violation2013FINRA$500,000
Charles Schwab & Company, Inc.Charles Schwab Corp.investor protection violation2011FINRA$18,000,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2010FINRA$200,000
ScottradeCharles Schwab Corp.anti-money-laundering deficiencies2009FINRA$600,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2005FINRA$250,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2004FINRA$16,000
Charles Schwab & Co, Inc.Charles Schwab Corp.investor protection violation2004FINRA$60,869
Ameritrade, Inc.Charles Schwab Corp.investor protection violation2004FINRA$10,000,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2022SEC$187,000,000
TD Ameritrade, Inc.Charles Schwab Corp.consumer protection violation2022TX-FIN$81,750
Charles Schwab Corp.Charles Schwab Corp.consumer protection violation2011private lawsuit-federal$235,000,000
TD Ameritrade Holdings Corp.Charles Schwab Corp.consumer protection violation2022private lawsuit-federal$2,325,000
Chicago Board Options ExchangeCBOE Holdingsinvestor protection violation2013SEC$6,000,000
Chicago Board Options ExchangeCBOE Holdingsprice-fixing or anti-competitive practices2006private lawsuit-federal$2,468,410
CATHAY BANKCathay General Bancorpbanking violation2008FDIC$55,500
CATHAY BANKCathay General Bancorpbanking violation2011FDIC$17,710
CashCall and Western SkyCashCall Inc.consumer protection violation2016NC-AG$9,000,000
CashCall Inc.CashCall Inc.consumer protection violation2014IA-AG$1,500,000
CashCall Inc.CashCall Inc.consumer protection violation2015WV-AG$13,000,000
CashCall Inc., WS FundingCashCall Inc.consumer protection violation2017DC-AG$2,962,573
CashCall, Inc.CashCall Inc.consumer protection violation2016MN-AG$11,700,000
CashCall, Inc.CashCall Inc.consumer protection violation2017VA-AG$15,335,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.