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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
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 iconAgencyPenalty Amount
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2002FINRA$350,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Salomon Smith BarneyMorgan Stanleyinvestor protection violation2002FINRA$5,000,000
U.S. Bancorp Piper JaffrayPiper Sandlerinvestor protection violation2002FINRA$250,000
Interactive Brokers, L.L.C.Interactive Brokers Groupinvestor protection violation2002FINRA$230,000
Credit Suisse First Boston CorporationCredit Suisseinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Knight Securities L.P.Virtu Financialinvestor protection violation2002FINRA$1,500,000
First American Financial Corp.First American Financialenvironmental violation2002CA-SCAQMD$6,500
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2002OSHA$55,000
ALLSTATEAllstateworkplace safety or health violation2002OSHA$69,500
VITOL SA, INCVitolenvironmental violation2002EPA$95,000
Morgan Stanley Capital Group, Inc.Morgan Stanleyenvironmental violation2002EPA$7,500
A.G. Edwards & Sons, Inc.Wells Fargodata submission deficiencies2003CFTC$45,000
Cleco CorporationMacquarieenergy market violation2003FERC$2,850,000
El Paso Electric CorporationJPMorgan Chaseenergy market violation2003FERC$15,500,000
Crawford Healthcare Management of Norfolk & BaltimoreCrawford & Co.fraud2003DOJ_CRIMINAL$8,000,000
PNC ICLC Corp.PNC Financial Servicesaccounting fraud or deficiencies2003DOJ_CRIMINAL$115,000,000
Bank of AmericaBank of Americaeconomic sanction violation2003OFAC$158,038
Bank of New YorkBank of New York Melloneconomic sanction violation2003OFAC$24,750
Barclays Bank PLCBarclayseconomic sanction violation2003OFAC$10,107
Credit Lyonnais, NYCredit Agricoleeconomic sanction violation2003OFAC$5,500
Deutsche Bank A.G.Deutsche Bankeconomic sanction violation2003OFAC$5,500
Guy Carpenter & Company, IncMarsh & McLennaneconomic sanction violation2003OFAC$50,000
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$11,000
National City BankPNC Financial Serviceseconomic sanction violation2003OFAC$5,500
Northern Trust, IBCNorthern Trusteconomic sanction violation2003OFAC$18,027
Societe GeneraleSociete Generaleeconomic sanction violation2003OFAC$6,600
Societe GeneraleSociete Generaleeconomic sanction violation2003OFAC$11,000
State Street Bank & Trust CoState Street Corp.economic sanction violation2003OFAC$22,000
UBS (USA) IncUBSeconomic sanction violation2003OFAC$14,750
UBS (USA) IncUBSeconomic sanction violation2003OFAC$5,000
Union Bank of CAMitsubishi UFJ Financial Groupeconomic sanction violation2003OFAC$14,913
Union Bank of CAMitsubishi UFJ Financial Groupeconomic sanction violation2003OFAC$12,000
Wells Fargo BankWells Fargoeconomic sanction violation2003OFAC$5,500
National City BankPNC Financial Servicesbanking violation2003OCC$56,800
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceaccounting fraud or deficiencies2003SEC$80,000,000
Alliance Capital Management L.P.Equitable Holdingsinvestor protection violation2003SEC$250,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003SEC$50,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003SEC$25,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2003SEC$10,000,000
Goldman SachsGoldman Sachsinvestor protection violation2003SEC$9,305,382
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2003SEC$917,858
UBS PaineWebber, Inc.UBSinvestor protection violation2003SEC$500,000
Deutsche Asset Management, Inc.Deutsche Bankinvestor protection violation2003SEC$750,000
SG Cowen Securities CorporationCowen Inc.investor protection violation2003SEC$5,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$101,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$19,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003SEC$135,000,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2003SEC$382,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupinvestor protection violation2003SEC$400,000,000
Credit Suisse First Boston LLCCredit Suisseinvestor protection violation2003SEC$200,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2003SEC$110,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2003SEC$200,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2003SEC$125,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003SEC$32,500,000
UBS Warburg LLCUBSinvestor protection violation2003SEC$80,000,000
Merrill Lynch & Co. Inc.Bank of Americaaccounting fraud or deficiencies2003SEC$80,000,000
Cleco CorporationMacquarieenergy market violation2003FERC$2,850,000
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2003HUD$370,000
Household InternationalHSBCwage and hour violation2003WHD$54,328
Bear Stearns Companies Inc.JPMorgan Chasewage and hour violation2003WHD$358,974
Alliance Data Systems, Inc.Bread Financial Holdingswage and hour violation2003WHD$40,320
Piccari Press, Inc.Chatham Asset Managementlabor relations violation2003NLRB$10,000
Banco Popular de Puerto RicoPopular Inc.anti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
Credit LyonnaisCredit Agricolefraud2003USAO$100,000,000
H & R BlockH&R Blockwage and hour violation2003CA-LCO$12,000
Bank of AmericaBank of Americawage and hour violation2003private lawsuit-state$4,100,000
Metropolitan LifeMetLifeemployment discrimination2003private lawsuit-federal$10,000,000
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2003private lawsuit-federal$15,000,000
Brut, LLCNasdaq Inc.investor protection violation2003SEC$45,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsinvestor protection violation2003SEC$450,000
Providian Financial Corp.JPMorgan Chasebenefit plan administrator violation2003private lawsuit-federal$8,600,000
Alliance Capital ManagementEquitable Holdingsinvestor protection violation2003NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $600,000,000
AllstateAllstateconsumer protection violation2003TX-AG$3,440,000
Allstate Insurance Co.Allstateprivacy violation2003PA-AG$10,000
American Express Co.American Expressconsumer protection violation2003NY-AG$3,285,000
Bankers Life and Casualty Co.CNO Financialprivacy violation2003KS-AG$15,000
Farmers Insurance GroupZurich Insuranceconsumer protection violation2003TX-AG$2,400,000
First Niagara BankKeyCorpconsumer protection violation2003NY-AG$33,500
H&R BlockH&R Blockconsumer protection violation2003MULTI-AG$3,300,000
United American Insurance Co.Globe Life Inc.consumer protection violation2003CT-AG$45,000
US Bank NAU.S. Bancorpconsumer protection violation2003NY-AG$33,500
USAA Federal Savings BankUSAAconsumer protection violation2003NY-AG$33,500
Wells Fargo Financial BankWells Fargoconsumer protection violation2003NY-AG$33,500
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003NY-MANDA$25,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003NY-MANDA$25,000,000
Wells Fargo Home Mortgage, Inc.Wells Fargoconsumer protection violation2003CA-SCCDA$25,000
Wells Fargo Financial Texas, Inc.Wells Fargoemployment discrimination2003EEOC$110,000
Edward D. Jones and Co.,LPJones Financialinvestor protection violation2003AK-DBS$11,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2003CA-INS$403,652
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2003CA-INS$250,000
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co.Tokio Marineinsurance violation2003CA-INS$42,500
Liberty Mutual Insurance GroupLiberty Mutual Insuranceinsurance violation2003CA-INS$215,000
American International Insurance Co. and AIG National Insurance Company, Inc.American International Groupinsurance violation2003FL-OFR$66,750
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.