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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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
PayPal Inc.PayPal Holdingseconomic sanction violation2015OFAC$7,658,300
ASI SERVICESProgressiveaviation safety violation2015FAA$17,000
ASI SERVICESProgressiveaviation safety violation2015FAA$27,000
Franklin American Mortgage CompanyCitizens Financial Groupmortgage abuses2015DOJ_CIVIL$70,000,000
Walter Investment Management Corp.Ditech Holding CorporationFalse Claims Act and related2015DOJ_CIVIL$29,630,000
Fireman's Fund Insurance CompanyAllianzFalse Claims Act and related2015DOJ_CIVIL$44,000,000
J.P. Morgan Investment Management Inc.JPMorgan Chaseinvestor protection violation2015SEC$1,084,210
Omega Advisors, Inc.Omega Advisorsinvestor protection violation2015SEC$134,026
Guggenheim Partners Investment Management LLCGuggenheim Partnersinvestor protection violation2015SEC$20,000,000
OZ Management LPSculptor Capital Managementdata submission deficiencies2015SEC$4,250,000
BMO Capital Markets GKST Inc.Piper Sandlerinvestor protection violation2015SEC$250,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2015SEC$120,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015SEC$500,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2015SEC$500,000
Hutchinson, Shockey, Erley & Co.Huntington Bancsharesinvestor protection violation2015SEC$220,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2015SEC$500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2015SEC$500,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2015SEC$500,000
The Northern Trust CompanyNorthern Trustinvestor protection violation2015SEC$60,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2015SEC$400,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2015SEC$500,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015SEC$500,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2015SEC$500,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015SEC$500,000
First BancorpFirst Bancorp (North Carolina)accounting fraud or deficiencies2015SEC$275,000
Nationwide Life Insurance CompanyNationwideinvestor protection violation2015SEC$8,000,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015SEC$15,000,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupinvestor protection violation2015CFTC$150,000
INTL FCStone Markets, LLCStoneX Groupinvestor protection violation2015CFTC$200,000
FCStone, LLCStoneX Groupinvestor protection violation2015CFTC$140,000
ICE Futures U.S. Inc.IntercontinentalExchange Groupinvestor protection violation2015CFTC$3,000,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2015CFTC$18,000,000
Associated Bank, N.A.Associated Banc-Corpdiscriminatory practices (non-employment)2015HUD$200,000,000
Wells FargoWells Fargoemployment discrimination2015OFCCP$14,000
H & R BlockH&R Blockwage and hour violation2015WHD$257,577
BMO Harris Bank N.A.Bank of MontrealFamily and Medical Leave Act2015WHD$11,304
IAC Springfield, LLCInvescoFamily and Medical Leave Act2015WHD$5,377
TitleMax of Missouri, Inc.TMX FinanceFamily and Medical Leave Act2015WHD$11,648
Huntington Bancshares IncorporatedHuntington BancsharesFamily and Medical Leave Act2015WHD$7,788
Transamerica Life Insurance CompanyAegonwage and hour violation2015WHD$70,143
GUARANTEED RATE, INC.Guaranteed Rate Inc.wage and hour violation2015WHD$12,548
Prospect MortgageHomebridge Financial Serviceswage and hour violation2015WHD$211,237
Bank of the WestBank of Montrealwage and hour violation2015WHD$33,750
Grandbridge Real Estate Capital, LLCTruist Financiallabor relations violation2015NLRB$70,000
Credit Agricole Corporate and Investment Bank (CACIB)Credit Agricoleeconomic sanction violation2015USAO$156,000,000
SG Americas Securities LLCSociete Generaleinvestor protection violation2015SEC$1,011,093
KCG Americas LLCVirtu Financialinvestor protection violation2015SEC$1,055,197
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2015SEC$100,000
Comerica Securities, Inc.Comericainvestor protection violation2015SEC$60,000
BB&T Securities, LLCTruist Financialinvestor protection violation2015SEC$200,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015SEC$200,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2015SEC$20,000
U.S. Bank Municipal Securities GroupU.S. Bancorpinvestor protection violation2015SEC$60,000
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.investor protection violation2015SEC$420,000
UBS Financial Services Inc.UBSinvestor protection violation2015SEC$480,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2015SEC$500,000
Macquarie Capital Investment Management LLC, et alMacquarieinvestor protection violation2015SEC$120,000
GUARANTEED RATE INCGuaranteed Rate Inc.wage and hour violation2015IL-DOL$7,291
Umpqua BankUmpqua Holdingswage and hour violation2015WA-DLI$15,350
Compass BankPNC Financial Serviceswage and hour violation2015private lawsuit-federal$500,000
CitigroupCitigroupwage and hour violation2015private lawsuit-federal$4,650,000
Wells Fargo Insurance ServicesWells Fargowage and hour violation2015private lawsuit-federal$2,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2015private lawsuit-federal$12,000,000
Capital OneCapital One Financialwage and hour violation2015private lawsuit-federal$3,000,000
Bank of AmericaBank of Americawage and hour violation2015private lawsuit-federal$9,000,000
TD BankToronto-Dominion Bankwage and hour violation2015private lawsuit-federal$9,900,000
MB FinancialFifth Third Bancorpwage and hour violation2015private lawsuit-federal$800,000
UBSUBSwage and hour violation2015private lawsuit-federal$1,312,500
Freedom MortgageFreedom Mortgagewage and hour violation2015private lawsuit-federal$900,000
Flagstar BankNew York Community Bancorpwage and hour violation2015private lawsuit-federal$895,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2015private lawsuit-federal$2,400,000
Countrywide Home Loans Inc.Bank of Americawage and hour violation2015private lawsuit-federal$9,649,000
BMO FinancialBank of Montrealwage and hour violation2015private lawsuit-federal$3,900,000
Wells Fargo BankWells Fargowage and hour violation2015private lawsuit-federal$1,850,000
U.S. BankU.S. Bancorpwage and hour violation2015private lawsuit-federal$3,031,075
MetLifeMetLifewage and hour violation2015private lawsuit-federal$1,970,000
Fifth Third BankFifth Third Bancorpwage and hour violation2015private lawsuit-federal$3,250,000
NEOVIA LOGISTICSGoldman Sachsaviation safety violation2015FAA$5,000
TIAA-CREFTIAAaviation safety violation2015FAA$7,500
Bank of New York MellonBank of New York Mellonbenefit plan administrator violation2015EBSA$84,000,000
Nationwide Life InsuranceNationwidebenefit plan administrator violation2015private lawsuit-federal$140,000,000
American International Group, Inc.American International Groupbenefit plan administrator violation2015private lawsuit-federal$40,000,000
Northern Trust Investments, N.A.Northern Trustbenefit plan administrator violation2015private lawsuit-federal$36,000,000
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2015private lawsuit-federal$7,420,000
Massachusetts Mutual Life Insurance Co.Massachusetts Mutual Life Insurancebenefit plan administrator violation2015private lawsuit-federal$9,475,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2015private lawsuit-federal$335,000,000
Principal Life Insurance CompanyPrincipal Financialbenefit plan administrator violation2015private lawsuit-federal$3,000,000
Ameriprise Financial, Inc.Ameriprise Financialbenefit plan administrator violation2015private lawsuit-federal$27,500,000
Wells Fargo Bank N.A.Wells Fargobankruptcy professional violation2015DOJ_UTP$81,600,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2015MULTI-AG$4,700,000
American Security Insurance Co.Assurantconsumer protection violation2015MA-AG$565,000
Axa S.A.AXAinsurance violation2015MULTI-AG$3,280,000
Bank of AmericaBank of Americamortgage abuses2015MA-AG$675,000
Bank of New York MellonBank of New York Mellonbanking violation2015NY-AG$167,500,000
Capital OneCapital One Financialconsumer protection violation2015MO-AG$740,000
CashCall Inc.CashCall Inc.consumer protection violation2015WV-AG$13,000,000
Chase Bank USA N.A.JPMorgan Chaseconsumer protection violation2015MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $106,000,000
CitigroupCitigroupmortgage abuses2015MA-AG$675,000
Citigroup Global Markets, Inc.Citigroupconsumer protection violation2015NY-AG$4,500,000
Discover Financial ServicesDiscover Financial Servicesconsumer protection violation2015MO-AG$760,000
Encompass Insurance Co.Allstateconsumer protection violation2015MA-AG$25,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.