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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
JPMorgan Chase$39,688,888,209277
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,264,317,61841
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
Goldman SachsGoldman Sachsinvestor protection violation2022CFTC$75,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2022CFTC$75,000,000
Nomura SecuritiesNomurainvestor protection violation2022CFTC$50,000,000
UBS AGUBSinvestor protection violation2022CFTC$75,000,000
Regions BankRegions Financialconsumer protection violation2022CFPB$191,000,000
UBS Securities LLCUBSinvestor protection violation2022FINRA$2,500,000
BofA Securities, Inc.Bank of Americainvestor protection violation2022FINRA$5,000,000
Capital One BankCapital One Financialdiscriminatory practices (non-employment)2022DOJ_RIGHTS$49,728
Barclays Bank PLCBarclaysinvestor protection violation2022SEC$361,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2022SEC$125,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2022SEC$125,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2022SEC$125,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2022SEC$125,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2022SEC$125,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2022SEC$125,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2022SEC$125,000,000
Nomura Securities International, Inc.Nomurainvestor protection violation2022SEC$50,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2022SEC$10,000,000
Capital One BankCapital One Financialprivacy violation2022private lawsuit-federal$95,000,000
JP Morgan Chase Bank N.AJPMorgan Chaseemployment discrimination2022CA-CRD$16,698
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2022CA-LCO$12,399
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2022KS-INS$7,000
Encore Capital Group, Inc. et al.Encore Capital Groupconsumer protection violation2022MA-AG$12,000,000
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2022MN-FIN$10,000
Transamerica Life Insurance Co.Aegoninsurance violation2022MN-FIN$500,000
STATE FARM FIRE AND CASUALTY CO.State Farm Insuranceinsurance violation2022MN-FIN$65,000
Credit Suisse Securities (USA) LLC et al.UBSinvestor protection violation2022NJ-AG$495,000,000
First Unum Life Insurance CompanyUnuminsurance violation2022NY-DFS$1,100,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022OR-FIN$20,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SC-SEC$50,000
TD Ameritrade, Inc.Charles Schwab Corp.consumer protection violation2022TX-FIN$81,750
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$5,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2022TX-INS$12,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$8,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$17,500
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$34,500
XL Insurance America Inc.AXAinsurance violation2022TX-INS$6,500
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$6,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$16,500
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$7,500
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$8,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2022TX-INS$24,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$8,000
XL Insurance America Inc.AXAinsurance violation2022TX-INS$5,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$11,000
Standard Fire Insurance CompanyTravelersinsurance violation2022TX-INS$8,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$22,000
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$9,500
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$20,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$5,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$58,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2022TX-INS$5,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,500
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,500
Travelers Personal Insurance Company et al.Travelersinsurance violation2022TX-INS$7,344,048
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$17,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2022TX-INS$7,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$9,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$24,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$21,800
Mitsui Sumitomo Insurance Company of AmericaMS&AD Insuranceinsurance violation2022TX-INS$23,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$12,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$22,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$22,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$35,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$27,000
LPL Financial LLCLPL Financialinvestor protection violation2022TX-SEC$125,000
Travelers Personal Insurance CompanyTravelersinsurance violation2022VA-INS$167,427
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2022VA-INS$30,030
AMERICAN FAMILY MUTUAL INSURANCE COMPANY S.I.American Family Insuranceinsurance violation2022WA-INS$10,000
STANDARD INSURANCE COMPANYMeiji Yasuda Life Insuranceinsurance violation2022WA-INS$25,000
UNITED SERVICES AUTOMOBILE ASSOCIATION et a.USAAinsurance violation2022WA-INS$50,000
STANDARD FIRE INSURANCE COMPANYTravelersinsurance violation2022WA-INS$15,000
Cash America West, Inc. and First Cash, Inc.FirstCashwage and hour violation2022WA-SOLS$383,873
Deutsche Bank Trust Company AmericasDeutsche Bankbanking violation2022FED$105,500
The Bank of New York Mellon CorporationBank of New York Mellonemployment discrimination2022OFCCP$1,925,000
Goldman Sachs Asset Management, L.P.Goldman Sachsinvestor protection violation2022SEC$4,000,000
Allstate InsuranceAllstateprivacy violation2022private lawsuit-federal$4,500,000
Academy Mortgage CorporationAcademy Mortgage Corp.False Claims Act and related2022DOJ_CIVIL$38,500,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022DOJ_CRIMINAL$2,000,000,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000
Wells Fargo BankWells Fargoconsumer protection violation2022CFPB$3,700,000,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2022SEC$198,323
Stewart Title Guaranty CorporationStewart Information Servicesprice-fixing or anti-competitive practices2022NY-AG$2,500,000
State Farm Mutual Automobile Insurance Company et al.State Farm Insuranceinsurance violation2022AZ-DIFI$100,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
Capital One, N.A.Capital One Financialconsumer protection violation2022CA-MULTI$2,000,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2022DE-SEC$72,255
ServiceLink LLCFidelity National Financialinsurance violation2022IN-INS$67,175
Progressive Direct Insurance Company et al.Progressiveinsurance violation2022KS-INS$5,000
Travelers Home and Marine Insurance CompanyTravelersinsurance violation2022KS-INS$26,240
Travelers Personal Insurance CompanyTravelersinsurance violation2022KS-INS$5,980
Natlonstar Mortgage LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2022MN-FIN$10,157
JACKSON NATIONAL LIFE INSURANCE COMPANYJackson Financialinsurance violation2022MO-INS$44,000
BANKERS LIFE AND CASUALTY COMPANYCNO Financialinsurance violation2022MO-INS$38,500
LPL Financial LLCLPL Financialinvestor protection violation2022NH-BSR$10,307
Progressive Casualty Insurance Company et al.Progressiveinsurance violation2022NY-DFS$189,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2022NY-DFS$200,000
American Family Connect Insurance CompanyAmerican Family Insuranceinsurance violation2022NY-DFS$50,000
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$24,750
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.