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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
Deutsche Bank$18,541,562,80279
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
United Services Automobile AssociationUSAAinsurance violation2007VA-INS$6,000
CAREFIRST BLUECHOICE, INC.CareFirst of Marylandinsurance violation2007VA-INS$120,000
UNITED AMERICAN INSURANCE CO.Globe Life violation2007VA-INS$15,000
CUNA MUTUAL INSURANCE SOCIETYCUNA Mutualinsurance violation2007VA-INS$30,000
BANNER LIFE INSURANCE COMPANYLegal & General Group PLCinsurance violation2007VA-INS$5,000
AMERICAN HOME ASSURANCE ET AL.American International Groupinsurance violation2007VA-INS$5,000
Metropolitan Property and CasualtyZurich Insuranceinsurance violation2007VA-INS$5,000
SENTINEL INSURANCE COMPANYHartford Financial Servicesinsurance violation2007VA-INS$5,000
HORACE MANN INSURANCE CO. ET AL.Horace Mann Educators violation2007VA-INS$42,400
Allstate Insurance Company and Allstate Indemnity CompanyAllstateinsurance violation2007VA-INS$8,000
CHUBB INDEMNITY INSURANCE, ET AL.Chubb Limitedinsurance violation2007VA-INS$5,000
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2007VA-INS$25,600
OppenheimerFunds Distributor, Inc.Invescoinvestor protection violation2007WA-FIN$669,500
Asurion Warranty Services, Inc.Asurioninsurance violation2007WI-INS$5,000
Austin Mutual Insurance Co.American Family Insuranceinsurance violation2007WI-INS$8,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2007WI-FIN$50,000
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2007MULTI-FIN$584,622
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2007MULTI-FIN$24,650,000
Allstate CorporationAllstatediscriminatory practices (non-employment)2007private lawsuit-federal$11,720,000
VitolVitolenvironmental violation2007CA-ARB$150,000
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsenvironmental violation2007NJ-ENV$5,700
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2007NJ-ENV$11,760
Buckeye Pipe Line Company, L.P.IFM Investorsenvironmental violation2007OH-ENV$30,000
Citizens Bank of Rhode IslandCitizens Financial Groupenvironmental violation2007RI-ENV$7,510
Fidelity Management Trust CompanyFidelity Investmentsbenefit plan administrator violation2007private lawsuit-federal$10,850,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2007FINRA$500,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007FINRA$300,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2007FINRA$1,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2007FINRA$370,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2007FINRA$12,500,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2007FINRA$2,600,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2007FINRA$6,100,000
MML Investors Services, Inc.Massachusetts Mutual Life Insuranceinvestor protection violation2007FINRA$473,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2007FINRA$354,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2007FINRA$100,000
Wells Fargo Securities, LLCWells Fargoinvestor protection violation2007FINRA$250,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007FINRA$2,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2007FINRA$15,200,000
HSBC BrokerageHSBCinvestor protection violation2007FINRA$250,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors CorporationFidelity Investmentsinvestor protection violation2007FINRA$400,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2007FINRA$2,750,000
Banc of America Investment Services Inc.Bank of Americaanti-money-laundering deficiencies2007FINRA$3,000,000
AllianceBernstein Investments, Inc.Equitable Holdingsinvestor protection violation2007FINRA$100,000
Fidelity Distributors Corp. et al.Fidelity Investmentsinvestor protection violation2007FINRA$3,750,000
Bank of AmericaBank of Americaenvironmental violation2007CA-SCAQMD$46,000
CITIMORTGAGE, INC.Citigroupworkplace safety or health violation2007OSHA$5,097
WASHINGTON MUTUALJPMorgan Chaseworkplace safety or health violation2007OSHA$5,000
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INCInvescoworkplace safety or health violation2007OSHA$5,200
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2007OSHA$9,210
PRO LINE PRINTING, INC.Chatham Asset Managementworkplace safety or health violation2007OSHA$5,000
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2007OSHA$5,550
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2007OSHA$5,625
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2007OSHA$5,100
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2007OSHA$27,690
BNP Paribas Commodity Futures, Ltd.BNP Paribasdata submission deficiencies2008CFTC$25,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$116,400,000
BANK OF THE CASCADESFirst Interstate Bancsystembanking violation2008FDIC$43,550
UMPQUA BANKUmpqua Holdingsbanking violation2008FDIC$90,240
CATHAY BANKCathay General Bancorpbanking violation2008FDIC$55,500
Heritage Bank of CommerceHeritage Commerce Corp.banking violation2008FED$6,840
CompuCredit CorporationAtlanticus Holdingsconsumer protection violation2008FTC$114,000,000
Bear Stearns Companies, LLCJPMorgan Chasemortgage abuses2008FTC$28,000,000
RBC Mortgage CompanyRoyal Bank of CanadaFalse Claims Act and related2008DOJ_CIVIL$10,710,000
National City Mortgage Inc.PNC Financial ServicesFalse Claims Act and related2008DOJ_CIVIL$4,600,000
A.G. Edwards and Sons Inc.Wells Fargoeconomic sanction violation2008OFAC$122,358
BankAtlanticTruist Financialeconomic sanction violation2008OFAC$7,500
Citigroup, N. A.Citigroupeconomic sanction violation2008OFAC$16,250
Key Bank National AssociationKeyCorpeconomic sanction violation2008OFAC$200,000
Old National BankOld National Bancorpbanking violation2008OCC$56,000
Northern Trust, National AssociationNorthern Trustbanking violation2008OCC$125,000
Wachovia Bank, National AssociationWells Fargobanking violation2008OCC$168,900,000
Zurich Financial ServicesZurich Insuranceaccounting fraud or deficiencies2008SEC$25,000,000
AmSouth BankRegions Financialinvestor protection violation2008SEC$11,400,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2008SEC$950,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008SEC$9,763,634
Fidelity InvestmentsFidelity Investmentskickbacks and bribery2008SEC$8,000,000
E*Trade Group, Inc.Morgan Stanleybenefit plan administrator violation2008EBSA$50,001
U.S. BankU.S. Bancorpwage and hour violation2008WHD$140,787
Merrill LynchBank of Americaemployment discrimination2008EEOC$1,550,000
Vanguard Group, Inc.Vanguard Groupemployment discrimination2008EEOC$500,000
Provident Funding Associates, LPProvident Funding Associateswage and hour violation2008WHD$8,453
JPMorgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2008WHD$9,622
Fidelity National Financial, IncFidelity National Financialwage and hour violation2008WHD$27,858
Fidelity National Financial, IncFidelity National Financialwage and hour violation2008WHD$17,845
Key Bank National AssociationKeyCorpwage and hour violation2008WHD$12,691
Merrill Lynch & Co., Inc.Bank of Americawage and hour violation2008WHD$516,924
Bank of AmericaBank of AmericaFamily and Medical Leave Act2008WHD$6,500
Bank of AmericaBank of Americawage and hour violation2008WHD$6,209
Equitable Life & Casualty Insurance CompanyEquitable Holdingswage and hour violation2008WHD$19,445
Mastercard International, IncMasterCardwage and hour violation2008WHD$5,777
National City Corporation d/b/a National City BankPNC Financial Serviceslabor relations violation2008NLRB$49,597
IFCO SystemsTriton Investments Adviserswork visa violations2008USAO$20,700,000
National City MortgagePNC Financial Serviceswage and hour violation2008private lawsuit-federal$27,500,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$21,000,000
UBS as successor to Piper JaffrayUBSwage and hour violation2008private lawsuit-federal$5,500,000
E-TradeMorgan Stanleywage and hour violation2008private lawsuit-federal$900,000
CitigroupCitigroupwage and hour violation2008private lawsuit-federal$98,000,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$19,000,000
USAAUSAAwage and hour violation2008private lawsuit-federal$738,423
Wilmington Finance Inc.OneMain Holdingswage and hour violation2008private lawsuit-federal$2,925,000
LPL Financial CorporationLPL Financialinvestor protection violation2008SEC$275,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.