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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
Och-Ziff Capital Management Group LLCSculptor Capital ManagementForeign Corrupt Practices Act2016DOJ_CRIMINAL$213,000,000
JPMorgan SecuritiesJPMorgan ChaseForeign Corrupt Practices Act2016DOJ_CRIMINAL$72,000,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.Nomuratoxic securities abuses2016NCUA$3,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2016SEC$2,500,000
Raymond James & AssociatesRaymond James Financialinvestor protection violation2016SEC$600,000
BOK Financial CorporationBOK Financialinvestor protection violation2016SEC$1,667,720
Park National CorporationPark National Corp.accounting fraud or deficiencies2016SEC$500,000
Merrill LynchBank of Americainvestor protection violation2016SEC$12,500,000
UBS Financial ServicesUBSinvestor protection violation2016SEC$15,025,882
Och-Ziff Capital Management GroupSculptor Capital ManagementForeign Corrupt Practices Act2016SEC$199,045,167
Credit Suisse AGUBSaccounting fraud or deficiencies2016SEC$90,000,000
Deutsche Bank SecuritiesDeutsche Bankinvestor protection violation2016SEC$9,500,000
Bank LeumiBank Leumiinvestor protection violation2016SEC$1,600,000
JPMorgan Chase & Co.JPMorgan ChaseForeign Corrupt Practices Act2016SEC$130,000,000
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2016SEC$24,500,000
Deutsche BankDeutsche Bankinvestor protection violation2016SEC$18,500,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2016SEC$7,500,000
First Tennessee BankFirst Horizon Nationaldiscriminatory practices (non-employment)2016HUD$1,900,000
Ameriprise Financial, Inc.Ameriprise Financialemployment discrimination2016OFCCP$128,200
Bank of AmericaBank of Americaemployment discrimination2016EEOC$30,000
Farmers Insurance ExchangeFarmers Insurance Exchangeemployment discrimination2016EEOC$225,000
Citigroup Technology IncCitigroupwage and hour violation2016WHD$1,967,689
Univest Corporation of PennsylvaniaUnivest FinancialFamily and Medical Leave Act2016WHD$5,076
Wells Fargo Bank, N. A.Wells FargoFamily and Medical Leave Act2016WHD$11,874
Citizens Bank of PennsylvaniaCitizens Financial Groupdiscriminatory practices (non-employment)2016HUD$115,000
TIAA-CREFTIAAlabor relations violation2016NLRB$304,216
RR Donnelly & Sons CompanyChatham Asset Managementwage and hour violation2016WHD$104,981
PNC Bank N.A.PNC Financial ServicesFalse Claims Act and related2016USAO$9,500,000
Ally Financial Inc.Ally Financialtoxic securities abuses2016USAO$52,000,000
BB&T Securities, LLCTruist Financialinvestor protection violation2016SEC$200,000
WL Ross & Co. LLCInvescoinvestor protection violation2016SEC$2,300,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargoinvestor protection violation2016SEC$440,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupinvestor protection violation2016SEC$20,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2016SEC$500,000
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2016SEC$360,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2016SEC$500,000
Keybanc Capital Markets Inc.KeyCorpinvestor protection violation2016SEC$440,000
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$500,000
Flagstar Bank, FSBNew York Community Bancorpbanking violation2016OCC$500,000
Wells Fargo Bank, National AssociationWells Fargoconsumer protection violation2016OCC$20,000,000
First Niagara Bank, National AssociationKeyCorpbanking violation2016OCC$2,000,000
First National Bank of OmahaFirst National of Nebraskabanking violation2016OCC$3,000,000
PNC Financial ServicesPNC Financial Serviceswage and hour violation2016private lawsuit-federal$6,000,000
Hartford Fire InsuranceHartford Financial Serviceswage and hour violation2016private lawsuit-federal$2,650,000
Merrill LynchBank of Americawage and hour violation2016private lawsuit-state$2,645,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-state$4,000,000
HSBCHSBCwage and hour violation2016private lawsuit-federal$6,982,000
BMO FinancialBank of Montrealwage and hour violation2016private lawsuit-federal$700,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$3,250,000
PNC BankPNC Financial Serviceswage and hour violation2016private lawsuit-federal$1,500,000
Morgan StanleyMorgan Stanleywage and hour violation2016private lawsuit-federal$5,995,000
AXA AdvisorsEquitable Holdingswage and hour violation2016private lawsuit-federal$2,300,000
Merrill LynchBank of Americawage and hour violation2016private lawsuit-federal$14,000,000
New York LifeNew York Life Insurancewage and hour violation2016private lawsuit-federal$94,818
JPMorgan ChaseJPMorgan Chasewage and hour violation2016private lawsuit-federal$950,000
Banco PopularPopular Inc.wage and hour violation2016private lawsuit-federal$50,243
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$36,000,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$2,250,000
NEOVIA LOGISTICSGoldman Sachsaviation safety violation2016FAA$35,000
Invesco Trust CompanyInvescobenefit plan administrator violation2016EBSA$10,270,000
Farmers Insurance ExchangeFarmers Insurance Exchangeemployment discrimination2016private lawsuit-federal$6,140,000
Massachusetts Mutual Life Insurance Co.Massachusetts Mutual Life Insurancebenefit plan administrator violation2016private lawsuit-federal$30,900,000
State Street CorporationState Street Corp.benefit plan administrator violation2016private lawsuit-federal$60,000,000
Fifth Third BancorpFifth Third Bancorpbenefit plan administrator violation2016private lawsuit-federal$6,000,000
Transamerica CorporationAegonbenefit plan administrator violation2016private lawsuit-federal$3,800,000
Wells Fargo BankWells Fargoemployment screening violation2016private lawsuit-federal$12,000,000
Bank of AmericaBank of Americafraud2016DC-AG$13,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2016MULTI-AG$100,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2016NY-AG$35,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2016VA-AG$9,000,000
CashCall and Western SkyCashCall Inc.consumer protection violation2016NC-AG$9,000,000
CashCall, Inc.CashCall Inc.consumer protection violation2016MN-AG$11,700,000
CashCall, Inc., WS Funding, LLC, and Delbert Services CorporationCashCall Inc.consumer protection violation2016CO-AG$7,384,005
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2016VA-AG$4,750,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americatoxic securities abuses2016VA-AG$19,500,000
Credit Suisse SecuritiesUBSinvestor protection violation2016NY-AG$30,000,000
Credit Suisse Securities (USA) LLCUBStoxic securities abuses2016VA-AG$1,200,000
Deutsche Bank Securities Inc.Deutsche Banktoxic securities abuses2016VA-AG$5,621,897
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2016NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,000,000
Ditech Financial, LLCDitech Holding Corporationconsumer protection violation2016MA-AG$1,400,000
Goldman SachsGoldman Sachstoxic securities abuses2016MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000
Goldman, Sachs & Co.Goldman Sachstoxic securities abuses2016VA-AG$2,900,000
Great American LifeMassachusetts Mutual Life Insuranceinsurance violation2016MULTI-AG$400,000
Hartford Fire and Casualty GroupHartford Financial Servicesinsurance violation2016MULTI-AG$2,100,000
Healthnow New YorkHighmark Inc.consumer protection violation2016NY-AG$60,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesbenefit plan administrator violation2016private lawsuit-federal$33,000,000
HSBCHSBCmortgage abuses2016MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $59,500,000
HSBCHSBCconsumer protection violation2016MA-AG$4,000,000
HSBC Securities (USA) Inc.HSBCtoxic securities abuses2016VA-AG$2,500,000
Insurance Company of the State of PennsylvaniaAmerican International GroupFalse Claims Act and related2016NV-AG$300,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016IL-AG$22,500,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016NY-AG$550,000,000
Morgan Stanley & Co. LLCMorgan Stanleytoxic securities abuses2016VA-AG$6,900,000
PayPal Inc.PayPal Holdingsprivacy violation2016TX-AG$175,000
QBE InsuranceQBE Insuranceconsumer protection violation2016MA-AG$375,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2016VA-AG$10,000,000
RBS Securities, Inc.NatWest Group PLCtoxic securities abuses2016CT-AG$120,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2016MULTI-AG$26,750,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2016MULTI-AG$277,000
State Street Bank and Trust Co.State Street Corp.investor protection violation2016MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000
UBS Securities LLCUBStoxic securities abuses2016VA-AG$850,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.