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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
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$14,370,701,61843
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
United States Fire Insurance Company of PlanoFairfax Financial Holdingsinsurance violation2009TX-INS$10,500
Ace American Insurance Co.Chubb Limitedinsurance violation2009UT-INS$141,500
ALLSTATE FIRE & CASUALTY ET ALAllstateinsurance violation2009VA-INS$36,000
THE TRAVELERS INDEMNITY CO. et al.Travelersinsurance violation2009VA-INS$7,000
ESURANCE INSURANCE COMPANYAllstateinsurance violation2009VA-INS$20,000
THE NORTH RIVER INSURANCE CO.Fairfax Financial Holdingsinsurance violation2009VA-INS$28,916
LIBERTY INSURANCE CORP., ET ALLiberty Mutual Insuranceinsurance violation2009VA-INS$6,000
American Economy Insurance CompanyLiberty Mutual Insuranceinsurance violation2009VA-INS$8,000
VICTORIA FIRE AND CASUALTY INSURANCENationwideinsurance violation2009VA-INS$7,500
Travelers Property Casualty Co. of AmericaTravelersinsurance violation2009VA-INS$6,000
American General Financial ServicesOneMain Holdingsconsumer protection violation2009WA-FIN$74,984
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2009WA-FIN$52,791
Conseco Health Insurance Co.CNO Financialinsurance violation2009WI-INS$20,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2009MULTI-FIN$720,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2009MULTI-FIN$8,500,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2009MULTI-FIN$525,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009MULTI-FIN$1,900,000
John Hancock Life Insurance CompanyManulife Financialdiscriminatory practices (non-employment)2009private lawsuit-federal$24,400,000
BUCKEYE PIPELINEIFM Investorsenvironmental violation2009IL-ENV$82,845
BUCKEYE PARTNERSIFM Investorsenvironmental violation2009IL-ENV$354,540
BUCKEYE PORT READING TERMINALIFM Investorsenvironmental violation2009NJ-ENV$7,000
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsenvironmental violation2009NJ-ENV$9,550
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2009NJ-ENV$9,700
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2009NJ-ENV$8,200
MetLife Securities, Inc.MetLifeinvestor protection violation2009FINRA$1,200,000
ScottradeCharles Schwab Corp.anti-money-laundering deficiencies2009FINRA$600,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009FINRA$600,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$425,000
UBS SecuritiesUBSinvestor protection violation2009FINRA$268,000
Deutsche BankDeutsche Bankinvestor protection violation2009FINRA$152,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2009FINRA$200,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2009FINRA$150,000
Credit Suisse Securities (USA), LLCUBSinvestor protection violation2009FINRA$275,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2009FINRA$100,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009FINRA$150,000
UBS Financial Services, Inc.UBSinvestor protection violation2009FINRA$100,000
KeyBanc Capital Markets, Inc.KeyCorpinvestor protection violation2009FINRA$425,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009FINRA$275,000
PNC InvestmentsPNC Financial Servicesinvestor protection violation2009FINRA$250,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$250,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2009FINRA$1,000,000
ICAP Corporates LLCCME Groupinvestor protection violation2009FINRA$2,800,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2009FINRA$1,400,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2009FINRA$1,000,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2009FINRA$400,000
M&T Securities, Inc.M&T Bankinvestor protection violation2009FINRA$200,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2009FINRA$200,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2009FINRA$1,750,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2009FINRA$900,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2009FINRA$7,200,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargoinvestor protection violation2009FINRA$1,100,000
New England SecuritiesMetLifeinvestor protection violation2009FINRA$500,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2009FINRA$300,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$32,500
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2009FINRA$25,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$2,000,000
Wachovia SecuritiesWells Fargoinvestor protection violation2009FINRA$4,500,000
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyanti-money-laundering deficiencies2009FINRA$1,000,000
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2009CA-SCAQMD$7,500
El Paso Electric CompanyJPMorgan Chaseutility service violation2009TX-PUC$100,000
Liberty Mutual Insurance CompanyLiberty Mutual Insurancewage and hour violation2009CA-LCO$11,916
Marsh & McLennan Companies Inc.Marsh & McLennanprice-fixing or anti-competitive practices2009private lawsuit-federal$69,000,000
MasterCard Inc.MasterCardprice-fixing or anti-competitive practices2009private lawsuit-federal$72,480,000
Visa USAVisaprice-fixing or anti-competitive practices2009private lawsuit-federal$100,000,000
Old Republic National Title Insurance CompanyOld Republic Internationalconsumer protection violation2009private lawsuit-federal$3,300,000
R R DONNELLEYChatham Asset Managementworkplace safety or health violation2009OSHA$7,500
FARMERS INSURANCE EXCHANGEFarmers Insurance Exchangeworkplace safety or health violation2009OSHA$10,000
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2009OSHA$11,100
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2009OSHA$6,000
IMPERIAL SUGAR COMPANYLouis Dreyfusenvironmental violation2009EPA$5,240
Morgan Stanley Capital Group Inc.Morgan Stanleyenvironmental violation2009EPA$405,000
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$25,000
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$16,830
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$9,951
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2009MSHA$6,600
Imperial Sugar CompanyLouis Dreyfusworkplace safety or health violation2010OSHA$6,050,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2010PHMSA$402,500
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2010PHMSA$100,000
East Penn Railroad3i Infrastructure PLCrailroad safety violation2010FRA$6,200
Nyrstar Clarksville, Inc.Trafigurarailroad safety violation2010FRA$5,000
Buckeye Pipe Line Co.IFM Investorsenvironmental violation2010EPA$78,780
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010DOJ_ANTITRUST$137,300,000
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LPBank of Americaconsumer protection violation2010FTC$108,000,000
1st Financial Bank USA1st Financial Bank USAbanking violation2010FDIC$10,140,000
Woodforest National BankWoodforest National Bankbanking violation2010OCC$33,000,000
City National BankRoyal Bank of Canadabanking violation2010OCC$5,250
Wachovia Bank N.A.Wells Fargobanking violation2010OCC$50,000,000
Wachovia BankWells Fargoanti-money-laundering deficiencies2010FINCEN$110,000,000
Barclays Bank PLCBarclayseconomic sanction violation2010DOJ_CRIMINAL$298,000,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V.ABN AMROeconomic sanction violation2010DOJ_CRIMINAL$500,000,000
Citigroup Inc.Citigrouptoxic securities abuses2010SEC$75,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2010SEC$550,000,000
Bank of AmericaBank of Americainvestor protection violation2010SEC$150,000,000
Morgan Stanley Capital GroupMorgan Stanleydata submission deficiencies2010CFTC$14,000,000
UBS SecuritiesUBSdata submission deficiencies2010CFTC$200,000
PrimeLendingHilltop Holdingsmortgage abuses2010DOJ_RIGHTS$2,000,000
Deutsche Bank AGDeutsche Banktax violations2010USAO$553,633,153
Balli Aviation Ltd. and Balli Group PLCBalli Groupexport control violation2010BIS$15,000,000
Nelnet Inc.NelnetFalse Claims Act and related2010DOJ_CIVIL$47,000,000
Regions BankRegions Financialinvestor protection violation2010SEC$1,000,001
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.investor protection violation2010SEC$112,600,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.