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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$389,040,962,184
Number of Records: 7,780
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$87,294,669,499330
JPMorgan Chase$39,888,888,209278
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,407,380112
NatWest Group PLC$14,264,317,61841
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
Wells FargoWells Fargoprice-fixing or anti-competitive practices2013private lawsuit-federal$35,000,000
Wells Fargo & CompanyWells Fargoprice-fixing or anti-competitive practices2022private lawsuit-federal$20,820,000
Wells Fargo Bank, N.A.Wells Fargoprice-fixing or anti-competitive practices2018private lawsuit-federal$8,750,000
Wells FargoWells FargoAmericans with Disabilities Act2023USAO$10,000
Wells Fargo & Co.Wells Fargobanking violation2023FED$67,762,500
Wells Fargo & Co.Wells Fargoeconomic sanction violation2023OFAC$30,000,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2019private lawsuit-federal$13,460,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2019private lawsuit-federal$55,000,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2018private lawsuit-federal$142,000,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2016private lawsuit-federal$25,750,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2013private lawsuit-federal$12,500,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2021private lawsuit-federal$6,945,095
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$750,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$880,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2016private lawsuit-federal$203,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2014private lawsuit-federal$140,500,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2012private lawsuit-federal$6,778,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2012private lawsuit-federal$3,190,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2011private lawsuit-federal$125,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2022private lawsuit-federal$12,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2022private lawsuit-federal$21,864,673
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2021private lawsuit-federal$45,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2020private lawsuit-federal$18,500,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2019private lawsuit-federal$386,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2019private lawsuit-federal$30,000,000
Wells Fargo Merchant Services LLCWells Fargoconsumer protection violation2021private lawsuit-federal$40,000,000
Wells Fargo N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$50,000,000
Wells FargoWells Fargoinvestor protection violation2023CFTC$75,000,000
Wells Fargo Securities, LLC et al.Wells Fargoinvestor protection violation2023SEC$125,000,000
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023SEC$35,000,000
Wells Fargo Home Mortgage IncWells Fargowage and hour violation2010MI-LEO$9,222
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023ME-SEC$5,000
WELLS FARGO BANK NAWells Fargowage and hour violation2022IL-DOL$18,049
WELLS FARGO BANK NAWells Fargowage and hour violation2022IL-DOL$18,049
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2024private lawsuit-federal$81,700,000
Wells Fargo Bank N.A.Wells Fargowage and hour violation2024private lawsuit-federal$16,600,000
WELLS FARGO SECURITIES, LLC.Wells Fargoworkplace safety or health violation2004OSHA$5,000
WELLS FARGO BANK #1692Wells Fargoworkplace safety or health violation2013OSHA$12,000
WELLS FARGO BANK, NAWells Fargoworkplace safety or health violation2017OSHA$9,000
Gerber Life Insurance CompanyWestern & Southern Financial Groupwage and hour violation2009WHD$172,799
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2011MD-INS$5,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2013MD-INS$14,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2017MD-INS$8,000
National Integrity Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2018NY-DFS$240,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2000WA-INS$350,000
Western and Southern Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2005MULTI-FIN$2,400,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2020NC-INS$3,635,665
National Integrity Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2020NY-DFS$20,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2022UT-INS$317,750
Gerber Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2022VA-INS$27,600
Western & Southern LifeWestern & Southern Financial Groupwage and hour violation2021MI-LEO$20,000
Western & Southern LifeWestern & Southern Financial Groupwage and hour violation2021MI-LEO$7,000
Ruesch International, Inc.Western Unioneconomic sanction violation2004OFAC$7,811
Western Union CompanyWestern Unionanti-money-laundering deficiencies2017DOJ_CRIMINAL$586,000,000
Western Union Financial Services, Inc.Western Unioneconomic sanction violation2019OFAC$401,697
Western Union Co.Western Unionconsumer protection violation2017MULTI-AG$5,000,000
Western Union Financial ServicesWestern Unionconsumer protection violation2005MULTI-AG$8,529,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2010MULTI-AG$94,000,000
Western Union Financial Services, Inc.Western Unionconsumer protection violation2008AZ-DIFI$2,000,000
Western Union International Services LLCWestern Unionconsumer protection violation2019FL-OFR$10,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2002NY-DFS$8,000,000
Western UnionWestern Unionanti-money-laundering deficiencies2018NY-DFS$60,000,000
Western Union Co.Western Unionconsumer protection violation2016private lawsuit-federal$133,000,000
Western Union Co.Western Unionconsumer protection violation2000private lawsuit-federal$375,000,000
WESTERN UNIONWestern Unionworkplace safety or health violation2015OSHA$11,000
Westpac Banking CorporationWestpac Bankingprice-fixing or anti-competitive practices2022private lawsuit-federal$25,000,000
WEX Bank and Higher One, Inc.WEX Inc.banking violation2015FDIC$34,980,000
WEX Inc.WEX Inc.investor protection violation2021SEC$350,000
Towers PerrinWillis Towers Watsonwage and hour violation2005WHD$105,865
Towers, Perrin, Forrester & CrosbyWillis Towers Watsonwage and hour violation2005WHD$294,279
Towers PerrinWillis Towers Watsonwage and hour violation2004WHD$376,093
Watson Wyatt & Co.Willis Towers Watsonlabor relations violation2005NLRB$91,000
Willis GroupWillis Towers Watsonemployment discrimination2011private lawsuit-federal$11,595,038
Willis GroupWillis Towers Watsonemployment discrimination2008private lawsuit-federal$12,757,949
Willis Group Holdings Ltd.Willis Towers Watsonconsumer protection violation2007FL-AG$2,600,000
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2005NY-AG$50,000,000
Watson Wyatt & CompanyWillis Towers WatsonFalse Claims Act and related2005USAO$689,828
Towers PerrinWillis Towers Watsonbenefit plan administrator violation2011private lawsuit-federal$9,200,000
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Wintrust Financial CorporationWintrust Financial Corp.banking violation2019FED$1,012,500
Woodforest National BankWoodforest National Bankbanking violation2010OCC$33,000,000
World Acceptance CorporationWorld Acceptance Corporationwage and hour violation2019WHD$5,549
World Acceptance Corporation, IncWorld Acceptance Corporationwage and hour violation2019WHD$6,582
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.banking violation2019OCC$85,265
Bryn Mawr Trust CompanyWSFS Financial Corp.banking violation2021FED$105,000
Zions First National BankZions Bancorporationbanking violation2011OCC$8,000,000
Zions BancorporationZions Bancorporationwage and hour violation2009WHD$15,347
ZB N.A. (fka Zions First National Bank)Zions Bancorporationconsumer protection violation2017USAO$3,600,000
Zions Direct, Inc.Zions Bancorporationinvestor protection violation2010FINRA$225,000
Zions Bancorporation dba California Bank & TrustZions Bancorporationconsumer protection violation2022private lawsuit-federal$14,000,000
Zions First National BankZions Bancorporationconsumer protection violation2014private lawsuit-federal$2,500,000
Zurich Financial ServicesZurich Insuranceaccounting fraud or deficiencies2008SEC$25,000,000
Zurich Capital Markets Inc.Zurich Insuranceinvestor protection violation2007SEC$16,800,000
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$565,065
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$754,148
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$20,122
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$209,170
Farmer's InsuranceZurich Insurancewage and hour violation2011WHD$1,520,705
Coast National InsuranceZurich Insurancewage and hour violation2002private lawsuit-state$18,000,000
Farmers Group, Inc.Zurich Insurancebenefit plan administrator violation2012private lawsuit-federal$6,850,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.