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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
Wells Fargo and CompanyWells Fargobenefit plan administrator violation2022EBSA$145,000,000
IAC Greencastle, LLCInvescoenvironmental violation2022IN-ENV$14,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2022MD-INS$10,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2022MD-INS$9,000
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2022MD-INS$5,000
American General Life Insurance Co.American International Groupinsurance violation2022MO-INS$117,300
John Hancock Life & Health Insurance CompanyManulife Financialinsurance violation2022NY-DFS$26,300,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2022NY-DFS$3,500,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022NY-DFS$477,600
Erie Insurance Company of New York and Erie Insurance CompanyErie Indemnityinsurance violation2022NY-DFS$19,000
Wells FargoWells Fargoworkplace whistleblower retaliation2022OSHA$22,000,000
American Express National BankAmerican Expresseconomic sanction violation2022OFAC$430,500
PNC Bank, National AssociationPNC Financial Servicesbanking violation2022OCC$2,614,456
Bank of America NABank of Americabanking violation2022OCC$125,000,000
Progressive Universal Insurance CompanyProgressiveinsurance violation2022OR-FIN$11,000
Allstate Property and Casualty et al.Allstateinsurance violation2022RI-FIN$65,000
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2022SEC$956,833
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2022SEC$152,955
Janus Henderson Investors US LLCJanus Hendersoninvestor protection violation2022SEC$150,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2022SEC$1,200,000
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$925,000
Equitable Financial Life Insurance CompanyEquitable Holdingsinvestor protection violation2022SEC$50,000,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$7,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2022TX-INS$10,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$10,600
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$20,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$6,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$30,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$9,000
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2022TX-INS$19,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$5,000
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$72,000
Standard Fire Insurance CompanyTravelersinsurance violation2022TX-INS$5,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2022TX-INS$12,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2022TX-INS$20,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2022UT-INS$317,750
Gerber Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2022VA-INS$27,600
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2022VA-INS$86,400
NATIONWIDE LIFE INSURANCE COMPANYNationwideinsurance violation2022WA-INS$30,000
PREMERA BLUE CROSSPremera Blue Crossinsurance violation2022WA-INS$5,000
Santander Bank, N.A.Banco Santanderwage and hour violation2022private lawsuit-federal$4,250,000
Wells Fargo & Co.Wells Fargobenefit plan administrator violation2022private lawsuit-federal$32,500,000
Ocwen Loan Servicing, LLCOcwen Financialprivacy violation2022private lawsuit-federal$1,500,000
Fifth Third BankFifth Third Bancorpprivacy violation2022private lawsuit-federal$50,000,000
T. Rowe Price Group, Inc.T. Rowe Pricebenefit plan administrator violation2022private lawsuit-federal$7,000,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2022OSHA$12,327
BUCKEYE TEXAS PROCESSING, LLCIFM Investorsworkplace safety or health violation2022OSHA$14,502
BOYD CORPORATIONGoldman Sachsworkplace safety or health violation2022OSHA$14,917
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2022OSHA$29,004
SYNAGRO WWT INCGoldman Sachsworkplace safety or health violation2022OSHA$11,095
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
Waddell & Reed, LLCMacquarieinvestor protection violation2022SEC$200,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2022SEC$35,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SEC$500,000
Bank of AmericaBank of Americainvestor protection violation2022CFTC$100,000,000
Barclays Bank PLCBarclaysinvestor protection violation2022CFTC$75,000,000
Cantor FitzgeraldCantor Fitzgeraldinvestor protection violation2022CFTC$6,000,000
Citibank N.A.Citigroupinvestor protection violation2022CFTC$75,000,000
Credit SuisseCredit Suisseinvestor protection violation2022CFTC$75,000,000
Deutsche BankDeutsche Bankinvestor protection violation2022CFTC$75,000,000
Goldman SachsGoldman Sachsinvestor protection violation2022CFTC$75,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2022CFTC$75,000,000
Nomura SecuritiesNomurainvestor protection violation2022CFTC$50,000,000
UBS AGUBSinvestor protection violation2022CFTC$75,000,000
Regions BankRegions Financialconsumer protection violation2022CFPB$191,000,000
UBS Securities LLCUBSinvestor protection violation2022FINRA$2,500,000
BofA Securities, Inc.Bank of Americainvestor protection violation2022FINRA$5,000,000
Capital One BankCapital One Financialdiscriminatory practices (non-employment)2022DOJ_RIGHTS$49,728
Barclays Bank PLCBarclaysinvestor protection violation2022SEC$361,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2022SEC$125,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2022SEC$125,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2022SEC$125,000,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2022SEC$125,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2022SEC$125,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2022SEC$125,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2022SEC$125,000,000
Nomura Securities International, Inc.Nomurainvestor protection violation2022SEC$50,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2022SEC$10,000,000
Capital One BankCapital One Financialprivacy violation2022private lawsuit-federal$95,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.