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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
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 iconPrimary Offense TypeYearAgencyPenalty Amount
Bank of the WestBNP Paribasemployment discrimination2011EEOC$48,000
Bank of the WestBNP Paribaswage and hour violation2015WHD$33,750
BNP Paribas S.A.BNP Paribasforeign exchange market manipulation2017FED$246,000,000
BNP Paribas USA Inc.BNP Paribasforeign exchange market manipulation2018DOJ_ANTITRUST$90,000,000
BNP Paribas Securities Corp.BNP Paribasinterest rate benchmark manipulation2018CFTC$90,000,000
BANK OF THE WESTBNP Paribasbanking violation2011FDIC$135,000
BANK OF THE WESTBNP Paribasbanking violation2010FDIC$68,200
BNP Paribas S.A.BNP Paribaseconomic sanction violation2014NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,243,400,000
BNP ParibasBNP Paribaseconomic sanction violation2014NY-DFS(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,240,000,000
BNP Paribas S.A.BNP Paribasforeign exchange market manipulation2017NY-DFS$350,000,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2020SEC$250,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasanti-money-laundering deficiencies2019FINRA$15,000,000
Bank of the WestBNP Paribasbanking violation2021FDIC$281,000
Bank Of The WestBNP Paribaswage and hour violation2020CA-LCO$5,783
BNP ParibasBNP Paribasinvestor protection violation2022CFTC$6,000,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019CO-INS$147,775
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2016DE-INS$487,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2017KS-INS$100,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2012MT-INS$12,500
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2013NY-DFS$150,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2016NY-DFS$146,485
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019NY-DFS$648,122
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2017SD-INS$40,000
COMPANION LIFE INSURANCE CO.BlueCross BlueShield of South Carolinainsurance violation2016VA-INS$44,220
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2019VT-FIN$1,656,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2021MULTI-FIN$5,000,000
BlackRock Advisors LLCBlackRockinvestor protection violation2015SEC$12,000,000
BlackRock Institutional Trust Company NABlackRockinvestor protection violation2012CFTC$250,000
BlackRock Institutional Trust CompanyBlackRockinvestor protection violation2014SEC$1,675,350
BlackRock Inc.BlackRockinvestor protection violation2017SEC$340,000
Blackrock Fund AdvisorsBlackRockinvestor protection violation2017SEC$1,500,000
State Street Research & Management CompanyBlackRockinvestor protection violation2005SEC$585,743
State Street Research Investment Services, Inc.BlackRockinvestor protection violation2004FINRA$1,500,000
BlackRock Institutional Trust Company, N.A.BlackRockbenefit plan administrator violation2021private lawsuit-federal$9,650,000
BGC Financial, L.P.BGC Partnersinvestor protection violation2019CFTC$3,000,000
BGC Financial, LPBGC Partnersinvestor protection violation2019CFTC$15,000,000
GFI Securities, LLCBGC Partnersinvestor protection violation2019CFTC$10,000,000
BGC Financial LPBGC Partnersforeign exchange market manipulation2019NY-AG$7,500,000
GFI Securities LLCBGC Partnersforeign exchange market manipulation2019NY-AG$5,000,000
GFI Securities LLCBGC Partnersinvestor protection violation2019SEC$4,300,000
BGC Partners, Inc.BGC Partnersinvestor protection violation2020SEC$1,400,000
Berthel Fisher & CompanyBerthel Fisherinvestor protection violation2003MN-FIN$10,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2007MO-SEC$230,469
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2011MO-SEC$5,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2013MO-SEC$80,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2003ND-SEC$12,303
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2004ND-SEC$20,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2006ND-SEC$8,000
Berthel, Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2007NE-DBF$5,000
Berthel Fisher & Company Financial Services, IncBerthel Fisherinvestor protection violation2019NH-BSR$415,407
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2014FINRA$775,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2021SEC$389,425
BCS Insurance CompanyBCS Financial Corporationinsurance violation2016NY-DFS$100,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2017MULTI-FIN$1,000,000
BARCLAYS BANK PLCBarclaysforeign exchange market manipulation2015FED$342,000,000
Barclays PLCBarclaysforeign exchange market manipulation2015DOJ_CRIMINAL$710,000,000
Barclays Bank PLCBarclaysinterest rate benchmark manipulation2012DOJ_CRIMINAL$160,000,000
Barclays Bank PLCBarclayseconomic sanction violation2010DOJ_CRIMINAL$298,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$35,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2014SEC$15,000,000
Barclays Bank PLCBarclaystoxic securities abuses2014FHFA$280,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2015NCUA$325,000,000
BarclaysBarclaysinterest rate benchmark manipulation2015CFTC$400,000,000
BarclaysBarclaysinterest rate benchmark manipulation2015CFTC$115,000,000
Barclays PLCBarclaysinterest rate benchmark manipulation2012CFTC$200,000,000
Barclays Bank PLCBarclaysenergy market manipulation2017FERC$105,000,000
Barclays Bank PLCBarclayseconomic sanction violation2016OFAC$2,485,890
Barclays Capital Inc.Barclaysinvestor protection violation2016CFTC$800,000
Barclays Bank PLCBarclaysinvestor protection violation2016CFTC$560,000
Barclays Bank PLCBarclayseconomic sanction violation2004OFAC$14,970
Barclays Bank PLCBarclayseconomic sanction violation2003OFAC$10,107
Barclays Bank PLCBarclaysinsider trading2007SEC$10,943,561
Barclays Bank PLCBarclaysdata submission deficiencies2016CFTC$500,000
Barclays Capital Inc.Barclayswage and hour violation2009WHD$9,707
Barclays CapitalBarclaysinvestor protection violation2017SEC$97,037,659
Barclays Capital Inc.Barclaysinvestor protection violation2017SEC$12,710,040
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$500,000
Barclays Capital, Inc.Barclaystoxic securities abuses2018USAO$2,000,000,000
Barclays Bank PLCBarclaysinterest rate benchmark manipulation2016MULTI-AG$100,000,000
Barclays Bank PLCBarclaystoxic securities abuses2013MA-AG$36,100,000
Barclays Capital Inc.Barclaysinvestor protection violation2016NY-AG$35,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2016VA-AG$9,000,000
Barclays PLCBarclaysforeign exchange market manipulation2018DOJ_CRIMINAL$12,896,011
Barclays PLCBarclaysForeign Corrupt Practices Act2019SEC$6,308,726
Barclays plcBarclayseconomic sanction violation2010NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $149,000,000
Barclays Bank PLCBarclaysforeign exchange market manipulation2015NY-DFS$485,000,000
Barclays Bank PLCBarclaysforeign exchange market manipulation2015NY-DFS$150,000,000
Barclays Bank PLCBarclaysworkplace whistleblower retaliation2018NY-DFS$15,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2016FINRA$1,300,000
Barclays Capital, Inc.Barclaysinvestor protection violation2015FINRA$13,750,000
Barclays Capital Inc.Barclaysinvestor protection violation2014FINRA$5,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2014FINRA$1,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2013FINRA$3,750,000
Barclays Capital Inc.Barclaysinvestor protection violation2011FINRA$3,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2021NM-AG$4,642,857
Barclays Bank PLCBarclaysinvestor protection violation2022CFTC$75,000,000
Barclays Bank PLCBarclaysinvestor protection violation2022SEC$361,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2022SEC$125,000,000
THE BANK OF NEW YORK MELLONBank of New York Mellonbanking violation2012FED$6,000,000
BNY MellonBank of New York MellonForeign Corrupt Practices Act2015SEC$14,800,000
Bank of New York MellonBank of New York Mellonbanking violation2015USAO$714,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.