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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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 icon . AgencyPenalty Amount
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2019WA-INS$100,000
American Family Connect Property And Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2019WA-INS$7,500
Premera Blue CrossPremera Blue Crossinsurance violation2019WA-INS$50,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2019WA-INS$16,150
Bankers Life & Casualty CompanyCNO Financialinsurance violation2019WA-INS$30,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2019WA-INS$50,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2019WA-INS$10,000
Lifewise Health Plan Of WashingtonPremera Blue Crossinsurance violation2019WA-INS$25,000
Premera Blue CrossPremera Blue Crossinsurance violation2019WA-INS$50,000
Mutual Of Omaha Insurance CompanyMutual of Omahainsurance violation2019WA-INS$12,000
Premera Blue CrossPremera Blue Crossinsurance violation2019WA-INS$5,000
National Casualty CompanyNationwideinsurance violation2019WA-INS$20,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2019WA-INS$20,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2019WA-INS$25,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2019WA-INS$30,000
Transamerica Life Insurance CompanyAegoninsurance violation2019WA-INS$15,000
Ticor Title CompanyFidelity National Financialinsurance violation2019WA-INS$5,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2019WA-INS$50,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2019WA-INS$10,050
Bankers Standard Insurance Company et al.Chubb Limitedinsurance violation2019WA-INS$25,000
Globe Life and Accident Insurance Company of Omaha, NebraskaGlobe Life Inc.insurance violation2019MULTI-FIN$3,300,000
Protective Life Insurance Company et al.Dai-ichi Lifeinsurance violation2019MULTI-FIN$350,000
Seterus Inc.Mr. Cooper Groupmortgage abuses2019MULTI-FIN$350,000
Wells Fargo & Co.Wells Fargodiscriminatory practices (non-employment)2019private lawsuit-federal$10,000,000
U.S. BankU.S. Bancorpprivacy violation2019private lawsuit-federal$2,670,336
Buckeye TerminalsIFM Investorsenvironmental violation2019CA-ARB$6,000
BUCKEYE PIPE LINE CO LPIFM Investorsenvironmental violation2019IN-ENV$22,500
Louisiana Generating, LLCMacquarieenvironmental violation2019LA-ENV$16,500
Nyrstar ClarksvilleTrafiguraenvironmental violation2019TN-ENV$181,482
Nyrstar ClarksvilleTrafiguraenvironmental violation2019TN-ENV$622,389
JPMorgan ChaseJPMorgan Chasebenefit plan administrator violation2019private lawsuit-federal$75,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2019FINRA$4,600,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$280,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$280,000
LPL Financial LLCLPL Financialinvestor protection violation2019FINRA$280,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019FINRA$280,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$280,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2019FINRA$6,500,000
Robinhood Financial, LLCRobinhood Marketsinvestor protection violation2019FINRA$1,250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$4,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2019FINRA$8,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasanti-money-laundering deficiencies2019FINRA$15,000,000
UBS Financial Services Inc.UBSinvestor protection violation2019FINRA$2,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$1,100,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$1,250,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019FINRA$772,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019FINRA$2,000,000
Buckeye Terminals LLC-MacungieIFM Investorsrailroad safety violation2019FRA$5,000
JP Morgan Chase Bank, NAJPMorgan Chaseemployment discrimination2019CA-CRD$60,000
Franklin Resources, Inc.Franklin Resourcesbenefit plan administrator violation2019private lawsuit-federal$13,850,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2019private lawsuit-federal$91,250,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2019private lawsuit-federal$91,250,000
Mastercard International Inc.MasterCardprice-fixing or anti-competitive practices2019private lawsuit-federal$2,100,000,000
Mizuho Bank LtdMizuho Financialprice-fixing or anti-competitive practices2019private lawsuit-federal$13,083,333
Norinchukin BankNorinchukin Bankprice-fixing or anti-competitive practices2019private lawsuit-federal$13,083,333
Shoko Chukin Bank LtdShoko Chukin Bankprice-fixing or anti-competitive practices2019private lawsuit-federal$6,350,000
Visa U.S.A. Inc.Visaprice-fixing or anti-competitive practices2019private lawsuit-federal$4,100,000,000
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2019OSHA$8,525
BROADRIDGE FINANCIAL SOLUTIONS, INC.Broadridge Financial Solutionsworkplace safety or health violation2019OSHA$8,335
BOYD CORPORATIONGoldman Sachsworkplace safety or health violation2019OSHA$6,300
BUCKEYE PARTNERS, L.P.IFM Investorsworkplace safety or health violation2019OSHA$13,500
WHEELABRATOR CONCORD INC.Macquarieworkplace safety or health violation2019OSHA$7,100
WHEELABRATOR NORTH ANDOVERMacquarieworkplace safety or health violation2019OSHA$7,500
LOUIS DREYFUS COMPANY AGRICULTURAL INDUSTRIESLouis Dreyfusenvironmental violation2019EPA$155,806
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$8,016
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$36,151
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2019MSHA$5,776
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$7,401
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$11,041
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$72,600
HSBC Holdings plcHSBCfraud2018DOJ_CRIMINAL$100,000,000
Goldman Sachs Bank USAGoldman Sachsbanking violation2018FED$90,000
Goldman SachsGoldman Sachsmortgage abuses2018FED$14,000,000
Morgan StanleyMorgan Stanleymortgage abuses2018FED$8,000,000
CIT Group Inc.First Citizens BancSharesmortgage abuses2018FED$5,200,000
U.S. BancorpU.S. Bancorpmortgage abuses2018FED$4,400,000
PNC Financial Services GroupPNC Financial Servicesmortgage abuses2018FED$3,500,000
Citibank N.A.Citigroupanti-money-laundering deficiencies2018OCC$70,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2018SEC$1,304,197
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2018SEC$1,250,000
Deutsche Bank Securities Inc.Deutsche Bankprice-fixing or anti-competitive practices2018CFTC$70,000,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2018CFTC$1,600,000
UBS AGUBSinvestor protection violation2018CFTC$15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018CFTC$30,000,000
US BancorpU.S. Bancorpbanking violation2018FED$15,000,000
BNP Paribas USA Inc.BNP Paribasprice-fixing or anti-competitive practices2018DOJ_ANTITRUST$90,000,000
Rabobank National AssociationRabobankanti-money-laundering deficiencies2018DOJ_CRIMINAL$368,701,259
U.S. BancorpU.S. Bancorpanti-money-laundering deficiencies2018USAO$453,000,000
Rabobank, National AssociationRabobankanti-money-laundering deficiencies2018OCC$50,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018OCC$75,000,000
Voya Holdings Inc.Voya Financialinvestor protection violation2018SEC$3,600,000
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americainvestor protection violation2018SEC$1,404,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2018SEC$14,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018SEC$4,450,000
Ameriprise Financial ServicesAmeriprise Financialinvestor protection violation2018SEC$230,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018FINCEN$70,000,000
PNC Investments LLCPNC Financial Servicesinvestor protection violation2018SEC$7,307,770
Barclays Capital, Inc.Barclaystoxic securities abuses2018USAO$2,000,000,000
Wells Fargo Bank N.A.Wells Fargobanking violation2018OCC$500,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2018CFPB$500,000,000
Goldman Sachs Group, Inc.Goldman Sachsinvestor protection violation2018FED$54,750,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.