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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,398,347,522
Number of Records: 7,169
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 ParentPrimary Offense TypeYear sort icon . AgencyPenalty Amount
LPL Financial LLCLPL Financialinvestor protection violation2021CT-SEC$500,000
NatWest Markets PlcNatWest Group PLCfraud2021DOJ_CRIMINAL$35,000,000
FMR LLCFidelity Investmentsbenefit plan administrator violation2021EBSA$10,001
Buckeye Pipe Line Company, L.P. and West Shore Pipe Line ComanyIFM Investorsenvironmental violation2021IL-ENV$8,700,000
Louis Dreyfus Company Agricultural Industries LLCLouis Dreyfusenvironmental violation2021IN-ENV$17,400
LendingTree, LLCLendingTreeconsumer protection violation2021MA-BKG$34,000
Allstate Indemnity CompanyAllstateinsurance violation2021MD-INS$50,000
Travelers Home and Marine Insurance Company et al.Travelersinsurance violation2021MN-FIN$30,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2021MN-FIN$35,000
Security National Insurance Co.Zurich Insuranceinsurance violation2021MO-INS$23,150
Barclays Capital Inc.Barclaystoxic securities abuses2021NM-AG$4,642,857
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2021NM-AG$4,642,857
Goldman Sachs & Co. LLCGoldman Sachstoxic securities abuses2021NM-AG$4,642,857
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americatoxic securities abuses2021NM-AG$4,642,857
NatWest Markets Securities Inc.NatWest Group PLCtoxic securities abuses2021NM-AG$4,642,857
Washington Mutual Mortgage Securities Corp.JPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
Pacific Life Insurance CompanyPacific Lifeinsurance violation2021NY-DFS$3,000,000
Oscar Insurance CorporationOscar Health Inc.insurance violation2021NY-DFS$1,465,800
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2021NY-DFS$230,820
Principal Life Insurance CompanyPrincipal Financialinsurance violation2021NY-DFS$1,997,866
Union Security Life Insurance Company of New YorkAssurantinsurance violation2021NY-DFS$20,000
Allstate Life Insurance Company of New YorkAllstateinsurance violation2021NY-DFS$196,250
Flagstar Bank, FSBNew York Community Bancorpbanking violation2021OCC$3,620,000
TD Bank, N.A.Toronto-Dominion Bankeconomic sanction violation2021OFAC$115,005
XL Specialty Insurance CompanyAXAconsumer protection violation2021RI-FIN$15,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2021TX-INS$5,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2021TX-INS$38,000
Horace Mann Insurance Company et al.Horace Mann Educators Corp.insurance violation2021TX-INS$25,000
Pacific Indemnity CompanyChubb Limitedinsurance violation2021TX-INS$45,000
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021VT-FIN$225,000
Sentry Select Insurance CompanySentry Insuranceinsurance violation2021WA-INS$5,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2021WA-INS$100,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2021WA-INS$10,000
Regions Financial CorporationRegions FinancialFamily and Medical Leave Act2021WHD$7,210
Wells Fargo Bank, N.A.Wells Fargowage and hour violation2021private lawsuit-federal$95,696,122
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2021private lawsuit-federal$5,500,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2021NY-DFS$75,000
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2021NY-DFS$50,000
Erie Insurance Company and Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$561,900
Nationwide Mutual Insurance CompanyNationwidewage and hour violation2021WHD$13,808
Flagstar Bancorp, Inc. a Michigan CorporationNew York Community Bancorpwage and hour violation2021CA-LCO$30,677
Flagstar Bank, FSB,New York Community Bancorpwage and hour violation2021CA-LCO$30,677
IAC WAUSEON, LLCInvescoworkplace safety or health violation2021OSHA$10,143
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2021OSHA$16,524
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2021OSHA$10,500
BUCKEYE TERMINALS, LLCIFM Investorsenvironmental violation2021EPA$67,856
Carl OstachIFM Investorsenvironmental violation2021EPA$153,637
BUCKEYE PIPELINE CO LP-BREINIGSVILLE, PAIFM Investorsenvironmental violation2021EPA$153,637
THE GAS COMPANY SNG PLANTMacquarieenvironmental violation2021EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $230,000
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2021MSHA$6,232
Wells Fargo & CompanyWells Fargowage and hour violation2020private lawsuit-federal$35,000,000
PNC Financial Services Group, Inc.PNC Financial Serviceswage and hour violation2020private lawsuit-federal$2,750,000
Blue Shield of California Promise Health PlanCalifornia Physicians' ServiceMedicare Parts C and D Enforcement Action2020CMS$148,506
M&T BankM&T Bankemployment discrimination2020EEOC$100,000
Jackson National Life Insurance CompanyJackson Financialemployment discrimination2020EEOC$20,500,000
Glacier BankGlacier Bancorpbanking violation2020FDIC$16,750
Wells Fargo & CompanyWells Fargofraud2020DOJ_CIVIL$3,000,000,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveetax violations2020DOJ_TAX$14,000,000
Citibank, N.A.Citigroupbanking violation2020OCC$17,998,510
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargoinvestor protection violation2020SEC$35,000,000
Wells Fargo & Co.Wells Fargoinvestor protection violation2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2020SEC$586,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$1,822,438
LendingClub CorporationLendingClub Corp.consumer protection violation2020MA-AG$1,250,000
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2020EBSA$88,000,000
American Security Insurance CompanyAssurantemployment discrimination2020EEOC$49,000
East West BankEast West Bancorpbanking violation2020FED$129,108
Bank Hapoalim B.M,Bank Hapoalimtax violations2020FED$37,350,000
Guaranteed Rate Inc.Guaranteed Rate Inc.False Claims Act and related2020DOJ_CIVIL$15,060,000
Bank Hapoalim B.M.Bank Hapoalimanti-money-laundering deficiencies2020DOJ_CRIMINAL$30,063,317
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd.Bank Hapoalimtax violations2020DOJ_TAX$616,910,000
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020USAO$51,000,000
Buckeye Partners, LPIFM Investorsenvironmental violation2020PHMSA$209,002
U.S. Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2020SEC$15,992,441
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2020SEC$5,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2020SEC$3,889,007
Merrill Lynch, Pierce and Fenner & Smith, IncorporatedBank of Americainvestor protection violation2020SEC$325,376
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2020SEC$3,200,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2020SEC$725,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020MULTI-AG$550,000,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020MA-AG$363,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2020AK-DBS$10,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AK-DBS$10,527
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AL-SEC$18,874
American Family Connect Property and Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2020AZ-DIFI$50,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CA-DFPI$52,047
Societe Generale Financial CorporationSociete Generalebanking violation2020CA-DFPI$10,250
Harleysville Insurance Co.Nationwideinsurance violation2020CT-INS$49,000
Allstate Indemnity Co.Allstateinsurance violation2020CT-INS$7,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CT-SEC$51,136
American Bankers Insurance Company of FloridaAssurantinsurance violation2020CT-INS$198,000
Hartford Underwriters Insurance Co. et al.Hartford Financial Servicesinsurance violation2020DE-INS$34,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2020DE-INS$6,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020GA-SEC$22,104
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020IA-INS$10,147
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IN-SEC$15,575
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020KY-FIN$325,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2020MD-INS$90,000
First American Title Insurance Co.First American Financialinsurance violation2020MD-INS$52,000
National Union Fire Insurance Company of Pittsburgh, Pennsylvania et al.American International Groupinsurance violation2020MD-INS$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.