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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $395,312,528,119
Number of Records: 8,003
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$87,320,969,499333
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,618,169,231268
Citigroup$27,081,211,792183
Deutsche Bank$20,015,467,563100
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,924,502,443207
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 ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
Popular BankPopular Inc.consumer protection violation2025private lawsuit-federal$1,500,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2025SEC$10,000,000
Santander US Capital Markets LLCBanco Santanderinvestor protection violation2025SEC$4,000,000
Robinhood Securities LLC and Robinhood Financial LLCRobinhood Marketsinvestor protection violation2025SEC$45,000,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2025SEC$40,000,000
American Express CompanyAmerican Expressconsumer protection violation2025DOJ_CIVIL$108,700,000
American Express CompanyAmerican Expressconsumer protection violation2025USAO$138,396,000
Bank of AmericaBank of Americawage and hour violation2024private lawsuit-federal$1,890,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024USAO$153,431,223
Nelnet, Inc.Nelnetconsumer protection violation2024MA-AG$1,800,000
AllianzAllianzdiscriminatory practices (non-employment)2024WA-AG$1,500,000
Vitol Inc.Vitolenergy market violation2024FERC$2,225,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinabanking violation2024FED$2,400,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2024SEC$18,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024SEC$83,000,000
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
Prosper Marketplace, Inc.Prosper Marketplaceconsumer protection violation2024CO-AG$10,000
First National Bank of PennsylvaniaF.N.B. Corporationmortgage abuses2024NC-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $13,500,000
AllianzAllianzdiscriminatory practices (non-employment)2024WA-AG$1,500,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2024FINRA$1,600,000
First National Bank of PennsylvaniaF.N.B. Corporationdiscriminatory practices (non-employment)2024DOJ_RIGHTS$13,500,000
City National BankRoyal Bank of Canadabanking violation2024OCC$65,000,000
TIAA-CREF Individual & Institutional Services LLCTIAAinvestor protection violation2024SEC$2,200,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024SEC$16,500,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2024SEC$12,000,000
Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2024SEC$8,500,000
U.S. Bancorp Investments Inc.U.S. Bancorpinvestor protection violation2024SEC$8,000,000
Aon Investments USA Inc.Aoninvestor protection violation2024SEC$1,542,187
LendingTree LLCLendingTreeprivacy violation2024private lawsuit-federal$875,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinabanking violation2024NY-DFS$30,000,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2024MA-SEC$7,500,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2024MT-FIN$2,000,000
Edward D. Jones & Co., LPJones Financialinvestor protection violation2024PA-BKG$300,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2024NY-DFS$150,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2024OR-FIN$100,000
STATE FARM FIRE & CASUALTY COMPANY et al.State Farm Insuranceinsurance violation2024WA-INS$100,000
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceinsurance violation2024WA-INS$46,328
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2024TX-INS$24,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2024TX-INS$17,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$17,000
MUFG BANK, LTD.U.S. Bancorpbanking violation2024CT-BKG$10,000
James B. Nutter & CompanyJames B. Nutter & Companyconsumer protection violation2024NC-BKG$10,000
T.H.E. Insurance CompanyAXAinsurance violation2024TX-INS$10,000
Liberty Mutual Personal Insurance CompanyLiberty Mutual Insuranceinsurance violation2024MD-INS$8,500
AIU Insurance CompanyAmerican International Groupinsurance violation2024TX-INS$8,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$6,200
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024ME-SEC$5,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2024MD-INS$5,000
Allstate Indemnity CompanyAllstateinsurance violation2024MD-INS$5,000
Acadia Insurance CompanyW.R. Berkleyinsurance violation2024TX-INS$5,000
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2024WA-INS$5,000
STANDARD INSURANCE COMPANYMeiji Yasuda Life Insuranceinsurance violation2024WA-INS$5,000
SUN LIFE ASSURANCE COMPANY OF CANADASun Life Financialinsurance violation2024WA-INS$5,000
Gunvor S.A.Gunvor GroupForeign Corrupt Practices Act2024DOJ_CRIMINAL$661,698,515
Allianz Asset Management of AmericaAllianzbenefit plan administrator violation2024private lawsuit-federal$7,500,000
State Farm Life Insurance Co.State Farm Insuranceconsumer protection violation2024private lawsuit-federal$65,000,000
Banner BankBanner Corp.wage and hour violation2024private lawsuit-federal$15,000,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupinvestor protection violation2024CFTC$500,000
U.S. Bank, N.A.U.S. Bancorpinvestor protection violation2024CFTC$6,000,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsinvestor protection violation2024CFTC$1,000,000
JPMorgan Chase & Co.JPMorgan Chasebanking violation2024FED$98,200,000
Trafigura Beheer B.V.TrafiguraForeign Corrupt Practices Act2024DOJ_CRIMINAL$126,998,297
JPMorgan Chase Bank, N.A.JPMorgan Chasebanking violation2024OCC$250,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2024private lawsuit-federal$8,000,000
Nationstar Mortgage LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2024private lawsuit-federal$3,587,214
Rocket Mortgage, LLCRocket Companies Inc.discriminatory practices (non-employment)2024HUD$95,000
Allstate Insurance Co.Allstateconsumer protection violation2024private lawsuit-federal$25,000,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2024CA-MHC$80,000
R. R. Donnelley Seymour, Inc.Chatham Asset Managementair pollution violation2024IN-ENV$8,750
Minnesota Life Insurance CompanySecurian Financialinsurance violation2024MD-INS$10,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2024MD-INS$10,000
PROSPER MARKETPLACE, INCProsper Marketplaceconsumer protection violation2024MN-FIN$30,000
NEW YORK LIFE INSURANCE COMPANY OF NYNew York Life Insuranceinsurance violation2024MO-INS$13,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2024NH-BSR$1,088,358
Allstate Fire and Casualty Company et al.Allstateinsurance violation2024NH-INS$275,000
Allstate Fire and Casualty CompanyAllstateinsurance violation2024NH-INS$17,500
Allianz Life Insurance Company of New YorkAllianzinsurance violation2024NY-DFS$577,250
Arthur J. Gallagher Risk Management Services Inc.Arthur J. Gallagher & Co.insurance violation2024NY-DFS$159,100
Esurance Insurance Services, Inc.Allstateinsurance violation2024OR-FIN$100,000
PNC Investments LLCPNC Financial Servicesinvestor protection violation2024PA-BKG$100,000
Transamerica Life Insurance CompanyAegoninsurance violation2024SD-INS$25,000
AIU Insurance CompanyAmerican International Groupinsurance violation2024TX-INS$9,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2024TX-INS$10,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2024TX-INS$11,500
Safety National Casualty CorporationTokio Marineinsurance violation2024TX-INS$7,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2024TX-INS$7,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$5,500
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2024TX-INS$90,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2024TX-INS$7,500
United Wisconsin Insurance CompanyAF Groupinsurance violation2024TX-INS$5,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$7,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$7,000
XL Specialty Insurance CompanyAXAinsurance violation2024TX-INS$8,500
Safety National Casualty CorporationTokio Marineinsurance violation2024TX-INS$17,000
Travelers Indemnity CompanyTravelersinsurance violation2024TX-INS$8,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2024TX-INS$7,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2024TX-INS$7,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$11,850
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$26,700
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2024TX-INS$19,750
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.