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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$387,559,149,282
Number of Records: 7,719
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
Wells Fargo$27,616,269,231266
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
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 iconAgencyPenalty Amount
TIAA-CREF Individual & Institutional Services, LLCTIAAinvestor protection violation2019SEC$2,395,722
Raymond James Financial Services Advisors, Inc.Raymond James Financialinvestor protection violation2019SEC$6,877,048
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2019SEC$1,852,383
Umpqua BankUmpqua Holdingsemployment screening violation2019private lawsuit-federal$325,000
Freedom Mortgage CorporationFreedom Mortgagemortgage abuses2019CFPB$1,750,000
Banca IMI Securities Corp.Intesa Sanpaoloprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$2,000,000
UniCredit GroupUniCrediteconomic sanction violation2019DOJ_CRIMINAL$413,536,632
Standard Chartered BankStandard Charteredeconomic sanction violation2019DOJ_CRIMINAL$292,210,160
Zurich Life Insurance Company LtdZurich Insurancetax violations2019DOJ_TAX$5,115,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2019EBSA$10,001
UniCredit, S.p.A.UniCreditbanking violation2019FED$158,000,000
Standard Chartered plcStandard Charteredbanking violation2019FED$164,000,000
Western Union Financial Services, Inc.Western Unioneconomic sanction violation2019OFAC$401,697
UniCredit Bank AGUniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $553,380,759
UniCredit Bank Austria AGUniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $20,326,340
UniCredit S.p.A.UniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,316,322
Standard Chartered BankStandard Charteredeconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $657,040,033
Deutsche Bank Trust Company AmericasDeutsche Bankinvestor protection violation2019SEC$500,000
Ally Financial ServicesAlly Financialwage and hour violation2019WHD$198,311
American Security Insurance Co.Assurantconsumer protection violation2019MS-AG$767,394
AON RISK SERVICES OF PR, INC.Aonbenefit plan administrator violation2019EBSA$10,001
BB&T CorporationTruist Financialbenefit plan administrator violation2019private lawsuit-federal$24,000,000
BMO Capital Markets CorporationBank of Montrealinvestor protection violation2019SEC$3,946,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019SEC$647,000
CIT Group, Inc., and CIT Bank, N.A., dba OneWest BankFirst Citizens BancSharesdiscriminatory practices (non-employment)2019HUD$7,300,000
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2019SEC$16,178,850
FirstBank Puerto RicoFirst Bancorp (Puerto Rico)banking violation2019FDIC$17,700
Freedom Mortgage CorporationFreedom Mortgagewage and hour violation2019private lawsuit-federal$4,480,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinaprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$3,000,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2019SEC$42,700,000
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2019NJ-AG$100,000
Jackson Hewitt Tax Service Inc.Jackson Hewittconsumer protection violation2019MA-AG$187,000
JP Morgan Chase Bank N.A.JPMorgan Chasewage and hour violation2019WHD$38,336
LPL Financial LLCLPL Financialinvestor protection violation2019MULTI-AG$25,848,000
Merrill Lynch Commodities Inc.Bank of Americaprice-fixing or anti-competitive practices2019DOJ_CRIMINAL$25,000,000
Merrill Lynch Commodities, Inc.Bank of Americainvestor protection violation2019CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000
Metropolitan Property & Casualty Co.Zurich Insuranceconsumer protection violation2019MS-AG$3,167,173
Midfirst BankMidFirst Bankbanking violation2019OCC$35,000
Morgan StanleyMorgan Stanleyinvestor protection violation2019CA-AG$150,000,000
MUFG Union Bank, National AssociationU.S. Bancorpbanking violation2019OCC$109,667
Mutual of Omaha Insurance Co.Mutual of Omahaconsumer protection violation2019MA-AG$25,000
Nomura Securities International Inc.Nomurainvestor protection violation2019SEC$26,400,000
Ocwen Financial CorporationOcwen Financialconsumer protection violation2019ME-AG$84,000
Ocwen Loan Servicing LLCOcwen Financialmortgage abuses2019MA-AG$2,000,000
Prudential Insurance Company Of AmericaPrudential Financialbenefit plan administrator violation2019private lawsuit-federal$9,000,000
Santander Securities LLCBanco Santanderconsumer protection violation2019MA-AG$100,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2019SEC$88,780,000
State Street Corp.State Street Corp.consumer protection violation2019MA-AG$53,500,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$8,100,000
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.banking violation2019OCC$85,265
World Acceptance CorporationWorld Acceptance Corporationwage and hour violation2019WHD$5,549
World Acceptance Corporation, IncWorld Acceptance Corporationwage and hour violation2019WHD$6,582
BGC Financial, L.P.BGC Partnersinvestor protection violation2019CFTC$3,000,000
Wells Fargo Bank, N.A.Wells Fargoinvestor protection violation2019CFTC$14,475,000
BGC Financial, LPBGC Partnersinvestor protection violation2019CFTC$15,000,000
GFI Securities, LLCBGC Partnersinvestor protection violation2019CFTC$10,000,000
Morgan Stanley Capital Group Inc.Morgan Stanleyinvestor protection violation2019CFTC$1,500,000
PNC Bank, National AssociationPNC Financial Servicesinvestor protection violation2019CFTC$300,000
Bank of New York MellonBank of New York Melloninvestor protection violation2019CFTC$750,000
NatWest Markets PlcNatWest Group PLCinvestor protection violation2019CFTC$850,000
Northern Trust CompanyNorthern Trustinvestor protection violation2019CFTC$1,000,000
Societe Generale International LimitedSociete Generaleinvestor protection violation2019CFTC$2,500,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2019CFTC$650,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2019CFTC$5,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019CFTC$300,000
HomeStreet BankHomeStreet Inc.banking violation2019FDIC$1,350,000
Vitol Inc.Vitolenergy market violation2019FERC$2,742,881
BGC Financial LPBGC Partnersprice-fixing or anti-competitive practices2019NY-AG$7,500,000
GFI Securities LLCBGC Partnersprice-fixing or anti-competitive practices2019NY-AG$5,000,000
Citibank, N.A.Citigroupbanking violation2019OCC$30,000,000
Goldman SachsGoldman Sachsemployment discrimination2019OFCCP$9,995,000
Wells Fargo Bank N.A.Wells Fargoemployment discrimination2019OFCCP$283,697
Bank of AmericaBank of Americaemployment discrimination2019OFCCP$4,200,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019SEC$1,545,758
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsinvestor protection violation2019SEC$810,785
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$1,852,540
Virtu Americas LLCVirtu Financialinvestor protection violation2019SEC$1,500,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealinvestor protection violation2019SEC$37,980,000
Barclays PLCBarclaysForeign Corrupt Practices Act2019SEC$6,308,726
GFI Securities LLCBGC Partnersinvestor protection violation2019SEC$4,300,000
Raymond James & Associates, Inc. et al.Raymond James Financialinvestor protection violation2019SEC$15,000,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2019SEC$225,000
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2019SEC$2,700,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2019SEC$1,950,000
Prudential Financial Inc.Prudential Financialinvestor protection violation2019SEC$32,600,000
Great American Financial Resources, Inc.American Financial Groupwage and hour violation2019private lawsuit-federal$1,250,000
Fidelity InvestmentsFidelity Investmentswage and hour violation2019private lawsuit-federal$1,200,000
UniCredit Bank AGUniCrediteconomic sanction violation2019NY-MANDA$316,000,000
UniCredit Bank Austria AGUniCrediteconomic sanction violation2019NY-MANDA$20,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019NY-MANDA$292,000,000
Wells Fargo Bank N.A.Wells Fargowage and hour violation2019WHD$57,675
JPMorgan Chase Bank, N.A.JPMorgan Chaseemployment discrimination2019private lawsuit-federal$5,000,000
Edward D. Jones & Co., L.P.Jones Financialbenefit plan administrator violation2019private lawsuit-federal$3,175,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasewage and hour violation2019private lawsuit-federal$1,850,000
HSBC Private Bank (Suisse) SAHSBCtax violations2019USAO$192,350,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2019CFTC$1,000,000
Coutts & Co Ltd.NatWest Group PLCtax violations2019DOJ_TAX$27,900,000
Allianz Global Risks U.S. Insurance CompanAllianzeconomic sanction violation2019OFAC$170,535
ACE LimitedChubb Limitedeconomic sanction violation2019OFAC$66,212
Mutual of Omaha BankFirst Citizens BancSharesbanking violation2019OCC$98,415
MetLife, Inc.MetLifeinvestor protection violation2019SEC$10,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.