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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
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
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 PLCBarclaysprice-fixing or anti-competitive practices2015FED$342,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$710,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2012DOJ_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
BarclaysBarclaysprice-fixing or anti-competitive practices2015CFTC$400,000,000
BarclaysBarclaysprice-fixing or anti-competitive practices2015CFTC$115,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2012CFTC$200,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2017FERC$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 PLCBarclaysprice-fixing or anti-competitive practices2016MULTI-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 PLCBarclaysprice-fixing or anti-competitive practices2018DOJ_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 PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$485,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-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
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2015SEC$120,000
Mellon Bank, N.A.Bank of New York MellonFalse Claims Act and related2007DOJ_CIVIL$16,500,000
The Bank of New YorkBank of New York Melloneconomic sanction violation2005OFAC$5,844
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$137,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$34,623
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$27,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$5,500
Mellon Bank N.A.Bank of New York Melloneconomic sanction violation2004OFAC$10,400
Bank of New YorkBank of New York Melloneconomic sanction violation2003OFAC$24,750
BNY MellonBank of New York Melloninvestor protection violation2017SEC$6,600,000
Bank of New York Mellon CorporationBank of New York Mellonbanking violation2017FED$3,000,000
The Bank of New YorkBank of New York Mellonanti-money-laundering deficiencies2005USAO$38,000,000
Bank of New York Mellon (Shanghai Branch)Bank of New York Mellonexport control violation2011BIS$30,000
BNY Mellon Securities LLCBank of New York Melloninvestor protection violation2011SEC$24,045,447
Bank of New York MellonBank of New York Mellonbenefit plan administrator violation2015EBSA$84,000,000
Bank of New York MellonBank of New York Mellonbanking violation2018FED$16,000
The Bank Of New YorkBank of New York Melloninvestor protection violation2007SEC$750,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000SEC$950,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2015private lawsuit-federal$335,000,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2009private lawsuit-federal$2,200,000
Bank of New York MellonBank of New York Melloninvestor protection violation2018SEC$54,000,000
Bank of New York MellonBank of New York Melloninvestor protection violation2013FL-AG$28,000,000
Bank of New York MellonBank of New York Mellonemployment discrimination2010NJ-AG$188,037
Bank of New York MellonBank of New York Mellonbanking violation2015NY-AG$167,500,000
Bank of New York Mellon Corp.Bank of New York Melloninvestor protection violation2011MULTI-AG$1,300,000
BNY Mellon Shareowner ServicesBank of New York Melloninvestor protection violation2010MA-AG$30,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000NY-AG$2,000,000
Bank of New York MellonBank of New York Melloninvestor protection violation2019CFTC$750,000
Mellon Bank N.A.Bank of New York MellonFalse Claims Act and related2006USAO$18,130,405
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2011TX-SEC$500,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2008FINRA$250,000
BNY Mellon Investment Adviser, Inc.Bank of New York Melloninvestor protection violation2022SEC$1,500,000
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2022SEC$956,833
The Bank of New York Mellon CorporationBank of New York Mellonemployment discrimination2022OFCCP$1,925,000
Bank of the WestBank of Montrealemployment discrimination2011EEOC$48,000
BMO Harris BankBank of Montrealemployment discrimination2013EEOC$400,000
BMO Harris Bank N.A.Bank of MontrealFamily and Medical Leave Act2015WHD$11,304
Bank of the WestBank of Montrealwage and hour violation2015WHD$33,750
BMO FinancialBank of Montrealwage and hour violation2016private lawsuit-federal$700,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.