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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$87,286,650,890328
JPMorgan Chase$39,688,888,209277
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
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.

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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2021OSHA$16,524
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2021OSHA$10,500
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2022OSHA$15,948
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2022OSHA$36,250
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2023OSHA$11,786
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2023OSHA$8,766
IAC GREENVILLE, LLCInvescoenvironmental violation2013EPA$16,870
INTERNATIONAL AUTOMOTIVE COMPONENTS A/K/A LEAR CORInvescoair pollution violation2012EPA$35,000
Israel Discount BankIsrael Discount Bankanti-money-laundering deficiencies2006FINCEN$12,000,000
Israel Discount Bank of New YorkIsrael Discount Bankanti-money-laundering deficiencies2005NY-MANDA$8,500,000
Israel Discount Bank of New YorkIsrael Discount Bankanti-money-laundering deficiencies2006NY-DFS$6,000,000
Jackson National Life Insurance CoJackson Financialinvestor protection violation2008CT-AG$484,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2015MULTI-AG$2,500,000
Jackson National Life Insurance CompanyJackson Financialemployment discrimination2020EEOC$20,500,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2007CO-INS$10,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2008CT-INS$483,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2004FL-OFR$5,500
Jackson National Life Insurance Co.Jackson Financialinsurance violation2010FL-OFR$53,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2015MD-INS$8,200
Jackson National Life Insurance Co.Jackson Financialinsurance violation2012MN-FIN$60,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2016MN-FIN$1,250,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2002OR-FIN$10,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2016WA-INS$8,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2016WA-INS$20,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2021WA-INS$10,000
JACKSON NATIONAL LIFE INSURANCE COMPANYJackson Financialinsurance violation2022MO-INS$44,000
Jackson National Life Insurance Co.Jackson Financialconsumer protection violation2014private lawsuit-federal$11,200,000
Jackson FinancialJackson Financialwage and hour violation2018MI-LEO$51,118
Jackson National Life Distributors IncJackson Financialwage and hour violation2011MI-LEO$10,716
Jackson Hewitt Tax Service Inc.Jackson Hewittconsumer protection violation2019MA-AG$187,000
Jackson Hewitt, Inc.Jackson Hewittconsumer protection violation2007CA-AG$5,000,000
Jackson Hewitt Inc.Jackson Hewittconsumer protection violation2004NY-NYCDCWP$125,000
Jackson HewittJackson Hewittwage and hour violation2013MI-LEO$8,553
James B. Nutter & CompanyJames B. Nutter & Companyconsumer protection violation2010KY-FIN$24,000
James B. Nutter & CompanyJames B. Nutter & Companymortgage abuses2012MULTI-FIN$492,050
James B. Nutter & CompanyJames B. Nutter & Companyconsumer protection violation2024NC-BKG$10,000
Janus Capital Management LLCJanus Hendersoninvestor protection violation2004SEC$100,000,000
Janus Capital ManagementJanus Hendersoninvestor protection violation2004MULTI-AG$225,000,000
Janus Henderson Investors US LLCJanus Hendersoninvestor protection violation2022SEC$150,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2015SEC$20,000,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2004SEC$75,000,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2015SEC$100,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$21,000,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$19,000,000
Edward Jones & Co.Jones Financialinvestor protection violation2008CA-AG$7,500,000
Edward D. Jones & Co., L.P.Jones Financialbenefit plan administrator violation2019private lawsuit-federal$3,175,000
Edward D. Jones and Co.,LPJones Financialinvestor protection violation2003AK-DBS$11,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2018AR-SEC$50,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2011IN-SEC$10,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2010ME-SEC$10,000
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2005MO-SEC$1,500,000
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2010MO-SEC$40,500
Edward JonesJones Financialinvestor protection violation2010MT-FIN$100,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2003ND-SEC$7,000
Edward D. Jones & Co., L.P.Jones Financialconsumer protection violation2013NE-DBF$12,500
Edward Jones & Co. LPJones Financialinvestor protection violation2014NH-BSR$750,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2016PA-BKG$135,000
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2019SD-INS$10,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2015FINRA$13,500,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2009FINRA$900,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2006FINRA$250,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2005FINRA$300,000
Edward Jones & Co., LPJones Financialinvestor protection violation2004FINRA$300,000
Edward JonesJones Financialinvestor protection violation2004FINRA$25,181
Edward D. Jones & Co.Jones Financialemployment discrimination2021private lawsuit-federal$58,000,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2022WA-SEC$175,000
Edward D. Jones & Co., LPJones Financialinvestor protection violation2024PA-BKG$300,000
El Paso ElectricJPMorgan Chaseenvironmental violation2015EPA$3,800,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$228,000,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CFPB$186,000,000
Affinion Group Holdings, Inc.JPMorgan Chaseconsumer protection violation2015CFPB$8,700,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CFPB$900,000
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2013CFPB$329,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2016OCC$48,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2015OCC$30,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$60,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$300,000,000
JPMorgan ChaseJPMorgan Chasebanking violation2013OCC$1,958,450,341
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2011OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2011OCC$2,000,000
JPMORGAN CHASE & CO.JPMorgan Chasebanking violation2015FED$342,000,000
JPMORGAN CHASE & CO.JPMorgan Chasebanking violation2013FED$200,000,000
JPMorgan Chase & Co., and EMC Mortgage CorporationJPMorgan Chasebanking violation2012FED$275,000,000
J.P. Morgan Chase Bank, N.A.JPMorgan Chaseanti-money-laundering deficiencies2014FINCEN$461,000,000
JPMorgan Chase Bank N.A.JPMorgan Chasebankruptcy professional violation2015DOJ_UTP$50,000,000
JPMorgan ChaseJPMorgan ChaseFalse Claims Act and related2014DOJ_CIVIL$614,000,000
JPMorgan ChaseJPMorgan Chasetoxic securities abuses2013DOJ$13,000,000,000
JPMorgan Chase & Co.JPMorgan Chasemortgage abuses2012DOJ$5,333,600,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$550,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016SEC$4,000,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2015SEC$267,000,000
JPMorgan & Co.JPMorgan Chaseaccounting fraud or deficiencies2013SEC$200,000,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2012SEC$296,900,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2011SEC$153,600,000
JPMorgan ChaseJPMorgan Chasedata submission deficiencies2016CFTC$225,000
JPMorgan Chase BankJPMorgan Chasedata submission deficiencies2015CFTC$100,000,000
JPMorgan Chase BankJPMorgan Chaseprice-fixing or anti-competitive practices2014CFTC$310,000,000
JPMorgan SecuritiesJPMorgan Chasedata submission deficiencies2014CFTC$650,000
JPMorgan ChaseJPMorgan Chaseinvestor protection violation2013CFTC$100,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.