Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYear sort icon . AgencyPenalty Amount
Cleco Power, LLCMacquarieenergy market violation2007FERC$2,000,000
Capital City BankCapital City Bank Groupbanking violation2007FED$85,045
Hanmi BankHanmi Financial Corp.banking violation2007FED$8,835
East West BankEast West Bancorpbanking violation2007FED$16,245
Mellon Bank, N.A.Bank of New York MellonFalse Claims Act and related2007DOJ_CIVIL$16,500,000
Compass BankPNC Financial Servicesdiscriminatory practices (non-employment)2007DOJ_RIGHTS$1,750,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
American Express Bank InternationalAmerican Expressanti-money-laundering deficiencies2007DOJ_CRIMINAL$55,000,000
BB&TTruist Financialeconomic sanction violation2007OFAC$10,000
American Express Travel Related Services Co., Inc.American Expresseconomic sanction violation2007OFAC$16,625
National Australia Bank Ltd.National Australia Bankeconomic sanction violation2007OFAC$100,000
Wachovia BankWells Fargoeconomic sanction violation2007OFAC$11,000
Keybank National AssociationKeyCorpbanking violation2007OCC$27,750
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2007OCC$125,000
Lasalle Bank MidWest National AssociationBank of Americabanking violation2007OCC$125,000
Lasalle Bank National AssociationBank of Americabanking violation2007OCC$79,524
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)investor protection violation2007SEC$50,000,000
Evergreen Investment Management CompanyWells Fargoinvestor protection violation2007SEC$32,500,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2007SEC$10,500,000
Swiss Re Financial Products CorporationSwiss Reinvestor protection violation2007SEC$95,000
General American Life Insurance CompanyMetLifeinvestor protection violation2007SEC$3,300,000
First BanCorpFirst Bancorp (Puerto Rico)accounting fraud or deficiencies2007SEC$8,500,000
Barclays Bank PLCBarclaysinsider trading2007SEC$10,943,561
The BISYS GroupCitigroupaccounting fraud or deficiencies2007SEC$25,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2007SEC$7,957,200
Zurich Capital Markets Inc.Zurich Insuranceinvestor protection violation2007SEC$16,800,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2007SEC$3,860,000
Banc of America Securities LLCBank of Americafraud2007SEC$26,000,000
Goldman Sachs Execution and Clearing L.P.Goldman Sachsinvestor protection violation2007SEC$2,000,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsaccounting fraud or deficiencies2007SEC$15,000,000
MBIA Inc.MBIAaccounting fraud or deficiencies2007SEC$50,000,000
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007SEC$40,000,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007FINCEN$10,000,000
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2007HUD$5,000,000
Fidelity National Title Insurance CompanyFidelity National Financialkickbacks and bribery2007HUD$68,635
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2007EBSA$50,001
FIRST FINANCIAL BANCORPFirst Financial Bancorp.benefit plan administrator violation2007EBSA$50,001
J P Morgan ChaseJPMorgan ChaseFamily and Medical Leave Act2007WHD$5,008
Fifth Third BancorpFifth Third Bancorpwage and hour violation2007WHD$9,038
UBS Financial Services, Inc.UBSwage and hour violation2007WHD$27,152
Teachers Insurance Annuity AssociationTIAAwage and hour violation2007WHD$1,171,404
Trafigura AGTrafigurawage and hour violation2007WHD$11,839
HSBCHSBCwage and hour violation2007WHD$16,545
Omega AdvisorsOmega AdvisorsForeign Corrupt Practices Act2007USAO$500,000
National City Mortgage Co.PNC Financial Serviceswage and hour violation2007CA-LCO$76,000
A.G. EdwardsWells Fargowage and hour violation2007private lawsuit-federal$20,000,000
E-Loan Inc.Popular Inc.wage and hour violation2007private lawsuit-federal$13,600,000
UBSUBSwage and hour violation2007private lawsuit-federal$44,000,000
Bank of AmericaBank of Americawage and hour violation2007private lawsuit-state$2,500,000
UBSUBSwage and hour violation2007private lawsuit-federal$45,000,000
Wells FargoWells Fargowage and hour violation2007private lawsuit-federal$12,800,000
Harris N.A.Bank of Montrealbenefit plan administrator violation2007EBSA$274,600
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2007SEC$17,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2007SEC$7,500,000
Smith Barney Fund Management LLCMorgan Stanleyinvestor protection violation2007SEC$450,000
AllianceBernstein, L.P.Equitable Holdingsinvestor protection violation2007SEC$450,000
John Hancock Investment Management Services, LLCManulife Financialinvestor protection violation2007SEC$19,787,879
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2007SEC$200,000
Deutsche Bank Trust Company AmericasDeutsche Bankinvestor protection violation2007SEC$750,000
The Bank Of New YorkBank of New York Melloninvestor protection violation2007SEC$750,000
Wilmington Trust CompanyM&T Bankinvestor protection violation2007SEC$100,000
Morgan StanleyMorgan Stanleyemployment discrimination2007private lawsuit-federal$46,000,000
St Paul Travelers Companies Inc.Travelersbenefit plan administrator violation2007private lawsuit-federal$4,450,000
Comerica IncorporatedComericabenefit plan administrator violation2007private lawsuit-federal$2,020,000
ACE LimitedChubb Limitedprice-fixing or anti-competitive practices2007PA-AG$9,000,000
ACE Group Holdings, Inc.Chubb Limitedprice-fixing or anti-competitive practices2007MULTI-AG$4,500,000
Allianz Life Insurance Company of North AmericaAllianzinvestor protection violation2007MN-AG$500,000
Allstate Company, Inc.Allstatewage and hour violation2007MA-AG$125,000
American Heritage Life Insurance Co.Allstateconsumer protection violation2007TX-AG$1,700,000
American International GroupAmerican International GroupFalse Claims Act and related2007MA-AG$58,500,000
CitibankCitigroupconsumer protection violation2007NY-AG$2,000,000
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $45,000,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesprice-fixing or anti-competitive practices2007MULTI-AG$115,000,000
HSBC Bank USA, N.A.HSBCenvironmental violation2007NY-AG$918,000
Jackson Hewitt, Inc.Jackson Hewittconsumer protection violation2007CA-AG$5,000,000
Liberty MutualLiberty Mutual Insuranceconsumer protection violation2007MA-AG$50,000
MBIA, Inc.MBIAinvestor protection violation2007NY-AG$25,000,000
Nelnet Inc.Nelnetconsumer protection violation2007NY-AG$2,000,000
Principal Financial GroupPrincipal Financialkickbacks and bribery2007CT-AG$5,000,000
Protective Life Insurance Co.Dai-ichi Lifeconsumer protection violation2007TX-AG$1,570,000
Sallie MaeSLM Corp.consumer protection violation2007NY-AG$2,000,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-AG$5,000,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-AG$978,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2007NY-AG$3,000,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2007MA-AG$20,000
Time Insurance CompanyHaven Holdingsconsumer protection violation2007MA-AG$16,000
TravelersCompanies, Inc.Travelersprice-fixing or anti-competitive practices2007MULTI-AG$6,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2007NY-AG$23,300,000
Union Security Insurance CompanyAssurantconsumer protection violation2007MA-AG$28,000
United States Fidelity & GuarantyTravelersFalse Claims Act and related2007CT-AG$17,500,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007MD-AG$402,386
Willis Group Holdings Ltd.Willis Towers Watsonconsumer protection violation2007FL-AG$2,600,000
VITOL, S.A.Vitolkickbacks and bribery2007NY-MANDA$17,500,000
Liberty Mutual GroupLiberty Mutual Insuranceinsurance violation2007AK-INS$32,500
Moneygram Payment Systems, Inc.MoneyGram Internationalconsumer protection violation2007AZ-DIFI$125,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2007CA-MHC$10,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2007CA-INS$299,500
Metropolitan Life Insurance Co.MetLifeinsurance violation2007CA-INS$700,000
21st Century Insurance Co. and 21st Century Casualty Co.Zurich Insuranceinsurance violation2007CA-INS$50,000
QBE Insurance Corp.QBE Insuranceinsurance violation2007CA-INS$120,000
Horace Mann Insurance Co. and Horace Mann Property & Casualty Insurance Co.Horace Mann Educators Corp.insurance violation2007CA-INS$175,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.