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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $385,467,775,190
Number of Records: 7,525
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$87,248,751,230324
JPMorgan Chase$39,322,669,157272
UBS$31,059,299,125178
Wells Fargo$27,517,928,133261
Citigroup$26,945,611,792181
Deutsche Bank$20,006,467,56398
Goldman Sachs$17,729,327,552109
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,542,431,900198
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 icon . Primary Offense TypeYearAgencyPenalty Amount
Nationwide Agribusiness Insurance CompanyNationwideinsurance violation2018WA-INS$25,000
National Casualty CompanyNationwideinsurance violation2019WA-INS$20,000
Nationwide Life Insurance CompanyNationwideinsurance violation2010MULTI-FIN$2,100,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2018MULTI-FIN$725,000
Nationwide Life Insurance Co.Nationwideinsurance violation2020CT-INS$10,000
Crestbrook Insurance Co.Nationwideinsurance violation2020WA-INS$5,000
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$17,500
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$20,000
HARLEYSVILLE MUTUAL INS CONationwideenvironmental violation2016PA-ENV$6,150
Nationwide Mutual Insurance Company et al.Nationwideinsurance violation2021TX-INS$75,000
Harleysville Worcester Insurance CompanyNationwideinsurance violation2020CT-INS$6,500
Crestbrook Insurance CompanyNationwideinsurance violation2020CT-INS$15,500
ALLIED PROPERTY AND CASUALTY INSURANCE COMPANY ET AL.Nationwideinsurance violation2021WA-INS$20,000
NATIONAL CASUALTY COMPANYNationwideinsurance violation2021WA-INS$50,000
Jefferson National Life Insurance Co.Nationwideinsurance violation2021CA-INS$165,342
Scottsdale Insurance Co.Nationwideinsurance violation2021NH-INS$10,579
Nationwide General Insurance Co.Nationwideinsurance violation2021WA-INS$35,000
Nationwide Life And Annuity Insurance Company et al.Nationwideinsurance violation2021WA-INS$5,000
Nationwide Life Insurance CompanyNationwideinsurance violation2022NY-DFS$5,640,000
National Casualty CompanyNationwideinsurance violation2022RI-FIN$20,000
Nationwide Mutual Insurance CompanyNationwidewage and hour violation2021WHD$13,808
NATIONWIDE LIFE INSURANCE COMPANYNationwideinsurance violation2022WA-INS$30,000
NATIONWIDE GENERAL INSURANCE COMPANYNationwideinsurance violation2022WA-INS$35,000
Nationwide Property and Casualty Insurance Company et al.Nationwideinsurance violation2023MD-INS$180,000
Harleysville Insurance CompanyNationwideinsurance violation2023NY-DFS$45,000
Nationwide Agribusiness Insurance CompanyNationwideinsurance violation2023NY-DFS$50,000
RBS PLC and RBS Securities JapanNatWest Group PLCprice-fixing or anti-competitive practices2014DOJ_ANTITRUST$150,000,000
ROYAL BANK OF SCOTLAND PLCNatWest Group PLCbanking violation2015FED$274,000,000
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCbanking violation2013FED$50,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$395,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2013SEC$153,700,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2014FHFA$99,500,000
Royal Bank of Scotland plcNatWest Group PLCtoxic securities abuses2015NCUA$129,600,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2014CFTC$290,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2013CFTC$325,000,000
Coutts & Co LtdNatWest Group PLCtax violations2015DOJ_TAX$78,484,000
Royal Bank of Scotland PLCNatWest Group PLCeconomic sanction violation2013OFAC$33,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2017CFTC$85,000,000
Royal Bank of Scotland PLCNatWest Group PLCtoxic securities abuses2017FHFA$5,500,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2017USAO$44,000,000
Royal Bank of Scotland Group plcNatWest Group PLCinvestor protection violation2014SEC$120,000
Royal Bank of Scotland Group plcNatWest Group PLCtoxic securities abuses2018DOJ_CIVIL$4,900,000,000
NatWest Markets PlcNatWest Group PLCinvestor protection violation2018CFTC$750,000
RBS Financial ProductsNatWest Group PLCtoxic securities abuses2012NV-AG$42,000,000
RBS Financial Products Inc.NatWest Group PLCtoxic securities abuses2011MA-AG$52,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2016VA-AG$10,000,000
RBS Securities, Inc.NatWest Group PLCtoxic securities abuses2016CT-AG$120,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2017CA-AG$125,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018IL-AG$20,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018NY-AG$500,000,000
NatWest Markets PlcNatWest Group PLCinvestor protection violation2019CFTC$850,000
Coutts & Co Ltd.NatWest Group PLCtax violations2019DOJ_TAX$27,900,000
Royal Bank of ScotlandNatWest Group PLCeconomic sanction violation2013NY-DFS$50,000,000
RBS Financial Products, Inc.NatWest Group PLCtoxic securities abuses2020MD-AG$18,000,000
RBS Securities, Inc.NatWest Group PLCinvestor protection violation2016FINRA$2,000,000
NatWest Markets PlcNatWest Group PLCfraud2021DOJ_CRIMINAL$35,000,000
NatWest Markets Securities Inc.NatWest Group PLCtoxic securities abuses2021NM-AG$4,642,857
National Westminster Bank plcNatWest Group PLCprice-fixing or anti-competitive practices2016private lawsuit-federal$3,500,000
Royal Bank of Scotland GroupNatWest Group PLCprice-fixing or anti-competitive practices2020private lawsuit-federal$13,000,000
Royal Bank of Scotland GroupNatWest Group PLCprice-fixing or anti-competitive practices2018private lawsuit-federal$255,000,000
Royal Bank of Scotland GroupPLCNatWest Group PLCprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Royal Bank of Scotland PLCNatWest Group PLCprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Royal Bank of Scotland PLCNatWest Group PLCprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
RBS Financial Products Inc.NatWest Group PLCconsumer protection violation2013private lawsuit-federal$1,750,000
RBS Securities Inc.NatWest Group PLCconsumer protection violation2015private lawsuit-federal$10,571,428
Royal Bank of Scotland GroupNatWest Group PLCconsumer protection violation2014private lawsuit-federal$275,000,000
Royal Bank of Scotland PLCNatWest Group PLCconsumer protection violation2019private lawsuit-federal$55,000,000
NatWest Markets PLCNatWest Group PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$21,000,000
Navient Solutions, Inc.Navientbanking violation2014FDIC$33,300,000
Pioneer Credit Recovery, Inc.Navienttax violations2013CT-AG$12,255
Navient Solutions, LLCNavientconsumer protection violation2021CT-BKG$25,400
NavientNavientconsumer protection violation2022MULTI-AG$1,850,000,000
NavientNavientconsumer protection violation2022ID-AG$3,972,316
Navient Corp. and Navient Solutions, LLCNavientconsumer protection violation2022NH-AG$3,590,988
Navient Corp.Navientconsumer protection violation2018private lawsuit-federal$275,000
Navient CorporationNavientemployment discrimination2023OFCCP$700,000
Navy Federal Credit UnionNavy Federal Credit Unionconsumer protection violation2016CFPB$28,500,000
Navy Federal Credit UnionNavy Federal Credit Unionenvironmental violation2017VA-ENV$7,426
Navy Federal Credit UnionNavy Federal Credit Unionconsumer protection violation2021private lawsuit-federal$16,000,000
NBT Bank, N.A.NBT Bancorpconsumer protection violation2022private lawsuit-federal$5,747,792
Nelnet Inc.NelnetFalse Claims Act and related2010DOJ_CIVIL$47,000,000
Nelnet Inc.Nelnetconsumer protection violation2007NY-AG$2,000,000
Nelnet, Inc.Nelnetconsumer protection violation2008NY-AG$200,000
New Day Financial LLC dba New Day USANew Day Financial LLCconsumer protection violation2015NY-DFS$1,000,000
New Day Financial LLCNew Day Financial LLCconsumer protection violation2011PA-BKG$57,500
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCconsumer protection violation2015WA-FIN$120,000
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCinvestor protection violation2015MULTI-FIN$5,160,000
Flagstar BankNew York Community Bancorpconsumer protection violation2014CFPB$37,500,000
Flagstar BankNew York Community Bancorpmortgage abuses2012USAO$132,800,000
NEW YORK COMMUNITY BANKNew York Community Bancorpbanking violation2004FDIC$8,000
Flagstar Bank, FSBNew York Community Bancorpbanking violation2016OCC$500,000
Flagstar BankNew York Community Bancorpwage and hour violation2015private lawsuit-federal$895,000
Flagstar Bancorp, Inc.New York Community Bancorpbenefit plan administrator violation2013private lawsuit-federal$3,000,000
Flagstar BankNew York Community Bancorpdiscriminatory practices (non-employment)2004private lawsuit-federal$1,100,000
Flagstar Bank, FSBNew York Community Bancorpbanking violation2021OCC$3,620,000
Flagstar Bancorp, Inc. a Michigan CorporationNew York Community Bancorpwage and hour violation2021CA-LCO$30,677
Flagstar Bank, FSB,New York Community Bancorpwage and hour violation2021CA-LCO$30,677
New York LifeNew York Life Insurancewage and hour violation2016private lawsuit-federal$94,818
New York Life Investment Management LLCNew York Life Insuranceinvestor protection violation2009SEC$6,100,784
New York Life InsuranceNew York Life Insurancebenefit plan administrator violation2008private lawsuit-federal$14,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.