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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$386,667,109,902
Number of Records: 7,660
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,327,552109
NatWest Group PLC$14,370,701,61843
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 ParentPrimary Offense TypeYear sort icon . AgencyPenalty Amount
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
City National BankRoyal Bank of Canadadiscriminatory practices (non-employment)2023DOJ_RIGHTS$31,000,000
Coinbase Inc.Coinbase Global Inc.anti-money-laundering deficiencies2023NY-DFS$100,000,000
TitleMax and TMX FinanceTMX Financeconsumer protection violation2023CFPB$15,000,000
Marsh USA Inc.Marsh & McLennaninsurance violation2023AK-INS$55,000
Metlife Pet Insurance Services LLC fka Petfirst Healthcare LLCMetLifeinsurance violation2023NY-DFS$129,000
Freddie MacFreddie Mac (Federal Home Loan Mortgage Corporation)environmental violation2023RI-AG$460,000
Everest National Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$22,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$22,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$69,750
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$34,500
XL Specialty Insurance CompanyAXAinsurance violation2023TX-INS$22,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$60,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$97,200
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$29,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$8,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023UT-INS$79,000
ESURANCE INSURANCE COMPANYAllstateinsurance violation2023WA-INS$5,000
Park National BankPark National Corp.discriminatory practices (non-employment)2023DOJ_RIGHTS$9,000,000
Wells FargoWells FargoAmericans with Disabilities Act2023USAO$10,000
KeyBanc Capital Markets Inc.KeyCorpinvestor protection violation2023SEC$397,135
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2023CA-DFPI$5,988,704
Wells Fargo & Co.Wells Fargobanking violation2023FED$67,762,500
Wells Fargo & Co.Wells Fargoeconomic sanction violation2023OFAC$30,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2023SEC$9,660,000
Chatham Asset Management LLCChatham Asset Managementinvestor protection violation2023SEC$18,800,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2023MULTI-FIN$10,200,000
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2023CFTC$6,847,182
Goldman SachsGoldman Sachsinvestor protection violation2023CFTC$15,000,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2023CFTC$45,000,000
HSBC Bank PLCHSBCinvestor protection violation2023CFTC$30,000,000
Bank of Nova ScotiaScotiabankinvestor protection violation2023CFTC$15,000,000
Citizens BankCitizens Financial Groupconsumer protection violation2023CFPB$9,000,000
Asurion LLCAsurionemployment discrimination2023DOJ_RIGHTS$13,395
HSBC Securities (USA) Inc.HSBCinvestor protection violation2023SEC$15,000,000
Scotia Capital (USA) Inc.Scotiabankinvestor protection violation2023SEC$7,500,000
UBSUBSbanking violation2023TX-AG$850,000
Robinhood Financial LLCRobinhood Marketsprivacy violation2023private lawsuit-federal$20,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2023private lawsuit-federal$17,750,000
TP ICAP PLCTP ICAP PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$2,375,000
State Farm Life Insurance CompanyState Farm Insuranceconsumer protection violation2023private lawsuit-federal$325,000,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$2,250,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2023AK-INS$20,000
Kemper Independence Insurance Company et al.Kemperinsurance violation2023CA-INS$2,206,313
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2023CA-MHC$5,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2023CA-MHC$6,500
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2023CA-MHC$12,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2023CA-MHC$5,000
Bankers Life & Casualty CompanyCNO Financialinsurance violation2023CT-INS$10,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023CT-INS$72,500
Stewart Title CompanyStewart Information Servicesinsurance violation2023IN-INS$6,570
STIFEL, NICOLAUS & COMPANY, INC.Stifel Financialinvestor protection violation2023MA-SEC$2,500,000
Nationwide Property and Casualty Insurance Company et al.Nationwideinsurance violation2023MD-INS$180,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2023MD-INS$25,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americaprivacy violation2023NH-BSR$700,000
OneMain Financial Group LLCOneMain Holdingsprivacy violation2023NY-DFS$4,250,000
Marsh USA Inc.Marsh & McLennaninsurance violation2023NY-DFS$123,100
Arthur J. Gallagher & Co. Insurance Brokers of California, Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$49,850
Alpha Property & Casualty Insurance CompanyKemperinsurance violation2023OR-FIN$30,000
Highmark, Inc.Highmark Inc.insurance violation2023SD-INS$5,000
Everest Premier Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$5,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2023TX-INS$11,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$7,500
Standard Fire Insurance CompanyTravelersinsurance violation2023TX-INS$7,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$10,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$21,500
Travelers Indemnity Company of ConnecticutTravelersinsurance violation2023TX-INS$5,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2023TX-INS$14,500
Hartford Accident & Indemnity CompanyHartford Financial Servicesinsurance violation2023TX-INS$14,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$12,500
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$28,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$38,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$69,000
AIU Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$15,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$80,300
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$8,000
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$7,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$5,500
Security National Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$14,000
State Farm LloydsState Farm Insuranceinsurance violation2023TX-INS$350,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.