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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.Louis Dreyfusworkplace safety or health violation2008OSHA$4,050,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.: ILouis Dreyfusworkplace safety or health violation2008OSHA$2,000,000
SYNAGRO A RESIDUALS MANAGEMENT COMPANYGoldman Sachsworkplace safety or health violation2008OSHA$13,000
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INCInvescoworkplace safety or health violation2008OSHA$59,000
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2008OSHA$18,500
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2008OSHA$7,500
SYNAGRO TECHNOLOGIES INC.Goldman Sachsworkplace safety or health violation2008OSHA$10,000
Citigroup Private Bank GP, Inc.Citigroupdata submission deficiencies2009CFTC$100,000
J.P. Morgan Futures, Inc.JPMorgan Chasedata submission deficiencies2009CFTC$300,000
UBS Fund Advisor, LLCUBSdata submission deficiencies2009CFTC$50,000
1ST FINANCIAL BANK USA1st Financial Bank USAbanking violation2009FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000
AFB&TSynovus Financialbanking violation2009FDIC$7,040
BANK OF KENTUCKY, INC., THETruist Financialbanking violation2009FDIC$30,415
American Express Centurion BankAmerican Expressbanking violation2009FDIC$250,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpbanking violation2009FDIC$22,000
CITIZENS BUSINESS BANKCVB Financialbanking violation2009FDIC$16,200
WELLS FARGO FINANCIAL BANKWells Fargobanking violation2009FDIC$125,000
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
NYRSTAR CLARKSVILLE, INC.Trafigurarailroad safety violation2009FRA$10,000
Regions BankRegions Financialbanking violation2009FED$135,000
Compass BankPNC Financial Servicesbanking violation2009FED$70,625
MoneyGram International, Inc.MoneyGram Internationalconsumer protection violation2009FTC$18,000,000
Credit Suisse AGCredit Suisseeconomic sanction violation2009DOJ_CRIMINAL$268,000,000
Lloyds TSB Bank PLCLloyds Banking Groupeconomic sanction violation2009DOJ_CRIMINAL$175,000,000
UBS AGUBStax violations2009DOJ_TAX$780,000,000
Australia and New Zealand Bank Group, Ltd.Australia and New Zealand Banking Groupeconomic sanction violation2009OFAC$5,750,000
National City BankPNC Financial Servicesbanking violation2009OCC$34,265
Wells Fargo Bank, National AssociationWells Fargobanking violation2009OCC$51,205
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2009OCC$100,000
First National Bank of OmahaFirst National of Nebraskabanking violation2009OCC$100,000
Capital One, National AssociationCapital One Financialbanking violation2009OCC$125,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2009PHMSA$7,500
ICAP plcCME Groupinvestor protection violation2009SEC$25,000,000
J.P. Morgan Securities Inc.JPMorgan Chasekickbacks and bribery2009SEC$75,000,000
Regions BankRegions Financialinvestor protection violation2009SEC$1,000,000
Bank of America CorporationBank of Americainvestor protection violation2009SEC$33,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2009SEC$500,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009SEC$17,300,000
Evergreen Investment Management Company LLCWells Fargoinvestor protection violation2009SEC$40,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2009SEC$7,000,000
UBS AGUBStax violations2009SEC$200,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009SEC$1,000,000
Allstate Insurance CompanyAllstateemployment discrimination2009EEOC$4,500,000
NationwideNationwidewage and hour violation2009WHD$28,290
JPMorgan Chase Bank, NAJPMorgan Chasewage and hour violation2009WHD$6,996
Zions BancorporationZions Bancorporationwage and hour violation2009WHD$15,347
The Travelers Indemnity CompanyTravelerswage and hour violation2009WHD$21,283
Sun Life Assurance Company of Canada (U.S.)Sun Life Financialwage and hour violation2009WHD$6,366
Gerber Life Insurance CompanyWestern & Southern Financial Groupwage and hour violation2009WHD$172,799
Sun Life Assurance Company of Canada (U.S.)Sun Life Financialwage and hour violation2009WHD$25,744
Barclays Capital Inc.Barclayswage and hour violation2009WHD$9,707
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2009WHD$22,377
Metropolitan Life Insurance CompanyMetLifeFamily and Medical Leave Act2009WHD$6,375
CitigroupCitigroupwage and hour violation2009WHD$38,926
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$37,951
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$28,560
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$85,353
National City CorporationPNC Financial Serviceslabor relations violation2009NLRB$24,083
El Paso Electric CompanyJPMorgan Chaselabor relations violation2009NLRB$11,500
Washington Mutual BankJPMorgan Chasewage and hour violation2009private lawsuit-federal$38,000,000
Wachovia SecuritiesWells Fargowage and hour violation2009private lawsuit-federal$39,000,000
Prudential FinancialPrudential Financialwage and hour violation2009private lawsuit-federal$11,000,000
TD AmeritradeCharles Schwab Corp.wage and hour violation2009private lawsuit-federal$2,500,000
AXA FinancialEquitable Holdingswage and hour violation2009private lawsuit-federal$6,500,000
A.G. EdwardsWells Fargowage and hour violation2009private lawsuit-federal$12,000,000
MetLifeMetLifewage and hour violation2009private lawsuit-federal$7,400,000
Janney Montgomery ScottPenn Mutualwage and hour violation2009private lawsuit-federal$2,880,000
Morgan StanleyMorgan Stanleywage and hour violation2009private lawsuit-federal$50,000,000
HSBC Auto FinanceHSBCwage and hour violation2009private lawsuit-federal$420,000
Banco PopularPopular Inc.wage and hour violation2009private lawsuit-federal$1,050,000
Champion Mortgage and KeyBankKeyCorpwage and hour violation2009private lawsuit-federal$1,200,000
Home Loan Center Inc.LendingTreewage and hour violation2009private lawsuit-federal$2,500,000
Hewitt AssociatesAonwage and hour violation2009private lawsuit-federal$4,900,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2009SEC$150,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2009SEC$50,000
New York Life Investment Management LLCNew York Life Insuranceinvestor protection violation2009SEC$6,100,784
American Skandia Investment Services, Inc.Prudential Financialinvestor protection violation2009SEC$68,000,000
TD Options LLCToronto-Dominion Bankinvestor protection violation2009SEC$1,000,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsinvestor protection violation2009SEC$7,200,000
Knight Financial Products, LLCVirtu Financialinvestor protection violation2009SEC$2,040,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2009SEC$125,000
Oppenheimer & Co. IncOppenheimer Holdingsinvestor protection violation2009SEC$850,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2009SEC$8,384,932
Ferris, Baker Watts, Inc.Royal Bank of Canadainvestor protection violation2009SEC$800,656
Gabelli Funds, LLCGamco Investors Inc.investor protection violation2009SEC$450,000
Bank of HawaiiBank of Hawaiibenefit plan administrator violation2009EBSA$2,500,000
Banc of America Investment ServicesBank of Americaemployment discrimination2009private lawsuit-federal$7,200,000
Merrill Lynch & Co., Inc.Bank of Americabenefit plan administrator violation2009private lawsuit-federal$75,000,000
Countrywide Financial CorporationBank of Americabenefit plan administrator violation2009private lawsuit-federal$55,000,000
Wachovia SecuritiesWells Fargobenefit plan administrator violation2009private lawsuit-federal$1,005,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2009private lawsuit-federal$2,200,000
MBNA Corp.Bank of Americabenefit plan administrator violation2009private lawsuit-federal$4,500,000
American International GroupAmerican International Groupwage and hour violation2009MA-AG$900,000
Ameriprise Financial Services, Inc.Ameriprise Financialconsumer protection violation2009MA-AG$200,000
Bank of AmericaBank of Americaprivacy violation2009CT-AG$350,000
Chase Bank USA, N.A.JPMorgan Chaseconsumer protection violation2009NY-AG$4,400,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009DE-AG$309,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009NJ-AG$3,300,932
Countrywide Financial Corp.Bank of Americamortgage abuses2009CO-AG$6,000,000
Countrywide Financial Corp.Bank of Americamortgage abuses2009RI-AG$1,146,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.