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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,002,583,076
Number of Records: 6,975
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$82,898,016,192264
JPMorgan Chase$36,127,193,625218
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649

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
Unum Life Insurance Company Of AmericaUnuminsurance violation2018WA-INS$7,000
Lifewise Health Plan Of WashingtonPremera Blue Crossinsurance violation2018WA-INS$40,000
Hartford Insurance Company The MidwestHartford Financial Servicesinsurance violation2018WA-INS$20,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2018WA-INS$7,000
American Strategic Insurance CorpProgressiveinsurance violation2018WA-INS$10,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2018WA-INS$10,000
Washington National Insurance CompanyCNO Financialinsurance violation2018WA-INS$7,500
Crestbrook Insurance CompanyNationwideinsurance violation2018WA-INS$50,000
Fidelity & Guaranty Life Insurance CompanyFidelity National Financialinsurance violation2018WA-INS$5,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018WA-INS$20,000
Horace Mann Insurance CompanyHorace Mann Educators violation2018WA-INS$10,000
Credit Acceptance CorporationCredit Acceptance violation2018WA-INS$30,000
Nationwide Agribusiness Insurance CompanyNationwideinsurance violation2018WA-INS$25,000
State Farm Life Insurance CompanyState Farm Insuranceinsurance violation2018WA-INS$10,000
American Automobile Insurance CompanyAllianzinsurance violation2018WA-INS$10,000
Allstate Life Insurance CompanyAllstateinsurance violation2018MULTI-FIN$150,000
American Family Life Insurance Company of ColumbusAflacinsurance violation2018MULTI-FIN$2,500,000
HCC Life Insurance Company et al.Tokio Marineinsurance violation2018MULTI-FIN$5,000,000
LPL Financial LLCLPL Financialinvestor protection violation2018MULTI-FIN$26,000,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2018MULTI-FIN$720,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2018MULTI-FIN$725,000
Travelers Indemnity CompanyTravelersdiscriminatory practices (non-employment)2018private lawsuit-federal$450,000
Nuveen Services LLCTIAAwage and hour violation2018IL-DOL$27,983
FIRST MIDWEST BANKOld National Bancorpwage and hour violation2018IL-DOL$15,000
ZURICH AMERICAN INS COZurich Insurancewage and hour violation2018IL-DOL$13,865
PRUDENTIAL INS CO OF AMERPrudential Financialenvironmental violation2018PA-ENV$9,000
Buckeye Albany Terminals, LLCIFM Investorsenvironmental violation2018NY-ENV$15,750
Synagro Woonsocket, LLCGoldman Sachsenvironmental violation2018RI-ENV$175,000
Buckeye Texas HUB LLCIFM Investorsenvironmental violation2018TX-RRC$6,000
Morgan Stanley Smith Barney LLCMorgan Stanleyanti-money-laundering deficiencies2018FINRA$10,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americasecurities issuance or trading violation2018FINRA$5,990,530
UBS Financial Services Inc. and UBS Securities LLCUBSanti-money-laundering deficiencies2018FINRA$5,000,000
LPL Financial, LLCLPL Financialinvestor protection violation2018FINRA$2,750,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2018FINRA$5,500,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinaanti-money-laundering deficiencies2018FINRA$5,300,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2018FINRA$6,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2018FINRA$1,500,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2018TX-PUC$20,000
HIGHMARK INC.Highmark Inc.workplace safety or health violation2018OSHA$25,868
BROADRIDGE FINANCIAL SOLUTIONSBroadridge Financial Solutionsworkplace safety or health violation2018OSHA$15,522
NEOVIA LOGISTICS DISTRIBUTION, LLCGoldman Sachsworkplace safety or health violation2018OSHA$10,000
WHEELABRATOR MILLBURY INC.Macquarieworkplace safety or health violation2018OSHA$9,472
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2018MSHA$5,903
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$10,473
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$8,947
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$9,942
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$5,997
Deutsche Bank Americas Holding Corp.Deutsche Bankbenefit plan administrator violation2019private lawsuit-federal$21,900,000
Citigroup, Inc.Citigroupbenefit plan administrator violation2019private lawsuit-federal$6,900,000
Enova International, Inc.Enova Internationalconsumer protection violation2019CFPB$3,200,000
USAA Federal Savings BankUSAAconsumer protection violation2019CFPB$15,500,000
Asurion, LLCAsurionemployment discrimination2019EEOC$50,000
Wintrust Financial CorporationWintrust Financial Corp.banking violation2019FED$1,012,500
PHH Mortgage CorporationOcwen FinancialServicemembers Civil Relief Act2019DOJ_RIGHTS$750,000
Citibank, N.A.Citigroupbanking violation2019OCC$25,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019SEC$8,014,000
Wells Fargo SecuritiesWells Fargoinvestor protection violation2019SEC$812,500
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$250,000
BB&T SecuritiesTruist Financialinvestor protection violation2019SEC$5,709,753
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2019SEC$17,363,847
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2019SEC$11,715,395
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2019SEC$2,971,462
First Republic Investment Management, Inc.First Republic Bankinvestor protection violation2019SEC$1,005,194
Stifel and Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2019SEC$6,037,175
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2019SEC$241,227
Sorrento Pacific Financial, LLCAtria Wealth Solutionsinvestor protection violation2019SEC$49,162
CUSO Financial Services, L.P.Atria Wealth Solutionsinvestor protection violation2019SEC$296,750
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019SEC$1,134,152
BB&T Securities, LLCTruist Financialinvestor protection violation2019SEC$376,059
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019SEC$1,405,349
Bok Financial Securities, Inc.BOK Financialinvestor protection violation2019SEC$197,801
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2019SEC$3,389,174
Principal Securities, Inc.Principal Financialinvestor protection violation2019SEC$1,764,624
Transamerica Financial Advisors, Inc.Aegoninvestor protection violation2019SEC$6,023,072
Comerica Securities, Inc.Comericainvestor protection violation2019SEC$186,377
Santander Securities LLCBanco Santanderinvestor protection violation2019SEC$270,539
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.Oppenheimer Holdingsinvestor protection violation2019SEC$3,528,377
LPL Financial LLCLPL Financialinvestor protection violation2019SEC$9,333,516
TIAA-CREF Individual & Institutional Services, LLCTIAAinvestor protection violation2019SEC$2,395,722
Raymond James Financial Services Advisors, Inc.Raymond James Financialinvestor protection violation2019SEC$6,877,048
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2019SEC$1,852,383
Umpqua BankUmpqua Holdingsemployment screening violation2019private lawsuit-federal$325,000
Freedom Mortgage CorporationFreedom Mortgagemortgage abuses2019CFPB$1,750,000
Banca IMI Securities Corp.Intesa Sanpaoloprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$2,000,000
UniCredit GroupUniCrediteconomic sanction violation2019DOJ_CRIMINAL$413,536,632
Standard Chartered BankStandard Charteredeconomic sanction violation2019DOJ_CRIMINAL$292,210,160
Zurich Life Insurance Company LtdZurich Insurancetax violations2019DOJ_TAX$5,115,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2019EBSA$10,001
UniCredit, S.p.A.UniCreditbanking violation2019FED$158,000,000
Standard Chartered plcStandard Charteredbanking violation2019FED$164,000,000
Western Union Financial Services, Inc.Western Unioneconomic sanction violation2019OFAC$401,697
UniCredit Bank AGUniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $553,380,759
UniCredit Bank Austria AGUniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $20,326,340
UniCredit S.p.A.UniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,316,322
Standard Chartered BankStandard Charteredeconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $657,040,033
Deutsche Bank Trust Company AmericasDeutsche Bankinvestor protection violation2019SEC$500,000
Ally Financial ServicesAlly Financialwage and hour violation2019WHD$198,311
American Security Insurance Co.Assurantconsumer protection violation2019MS-AG$767,394
BB&T CorporationTruist Financialbenefit plan administrator violation2019private lawsuit-federal$24,000,000
BMO Capital Markets CorporationBank of Montrealinvestor protection violation2019SEC$3,946,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.