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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$343,567,149,199
Number of Records: 7,165
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Citigroup$25,740,655,365159
Wells Fargo$22,081,458,643229
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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
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 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.data submission deficiencies2014SEC$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
Chicago Board Options ExchangeCBOE Holdingsinvestor protection violation2013SEC$6,000,000
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
CashCall, Inc., WS Funding, LLC, and Delbert Services CorporationCashCall Inc.consumer protection violation2016CO-AG$7,384,005
Western Sky Financial LLC, CashCall, Inc., WS Funding, LLC and Delbert Services Corp.CashCall Inc.consumer protection violation2016IN-AG$1,000,000
Western Sky Financial, CashCall Inc. and WS FundingCashCall Inc.consumer protection violation2016AR-AG$750,000
Western Sky Financial, LLCCashCall Inc.consumer protection violation2014NY-AG$1,500,000
Western Sky Financial, LLC and CashCall, Inc.CashCall Inc.consumer protection violation2015MI-AG$24,700,000
Western Sky Financial, LLC et al.CashCall Inc.consumer protection violation2014CO-AG$565,000
Western Sky Financial, LLC, CashCall, Inc.CashCall Inc.consumer protection violation2017GA-AG$42,000,000
Western Sky Financial, LLC, WS Funding, LLC, CashCall, Inc., Delbert Services Corp.CashCall Inc.consumer protection violation2015MA-AG$259,115
CashCall, Inc.CashCall Inc.payday lending violation2017AZ-DIFI$250,000
CashCall, Inc.CashCall Inc.payday lending violation2015CA-DFPI$1,000,000
CashCall, Inc. and Western Sky Financial L.L.C.CashCall Inc.payday lending violation2014CT-BKG$400,000
CashCall, Inc., Western Sky Financial, LLC, WS Funding, LLCCashCall Inc.payday lending violation2016FL-OFR$500,000
CashCall, Inc. and Western Sky Financial, LLC et al.CashCall Inc.payday lending violation2014MD-FIN$100,018
Western Sky Financial, LLC and CashCall, Inc.CashCall Inc.consumer protection violation2015MI-FIN$2,200,000
Western Sky Financial LLC et al.CashCall Inc.consumer protection violation2016NC-BKG$9,275,000
CashCall, Inc.CashCall Inc.consumer protection violation2019NH-BKG$188,880
CashCall Inc. and WS Funding LLCCashCall Inc.consumer protection violation2019NH-BKG$188,800
Western Sky Financial, LLC et al.CashCall Inc.consumer protection violation2013NV-BKG$50,000
CashCall, Inc.CashCall Inc.consumer protection violation2017OK-DCC$1,000,000
Western Sky Financial, LLCCashCall Inc.consumer protection violation2012OR-FIN$17,500
CashCall Inc. et al.CashCall Inc.consumer protection violation2014PA-BKG$1,000,000
CashCall Inc.CashCall Inc.consumer protection violation2017SC-FIN$9,650,000
Cash Call Inc. and Western Sky Financial LLCCashCall Inc.consumer protection violation2015WA-FIN$2,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.