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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
Buckeye Albany Terminal LLCIFM Investorsenvironmental violation2016NY-ENV$30,000
Courier Printing CompanyChatham Asset Managementenvironmental violation2016TN-ENV$8,555
R. R. Donnelley & Sons CompanyChatham Asset Managementenvironmental violation2016TX-ENV$10,051
Wheelabrator Portsmouth Inc.Macquarieenvironmental violation2016VA-ENV$7,669
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargoinvestor protection violation2016FINRA$4,000,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadainvestor protection violation2016FINRA$3,500,000
RBS Securities, Inc.NatWest Group PLCinvestor protection violation2016FINRA$2,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargoinvestor protection violation2016FINRA$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2016FINRA$1,500,000
LPL Financial LLCLPL Financialinvestor protection violation2016FINRA$750,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2016FINRA$50,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2016FINRA$3,250,000
Credit Suisse Securities (USA) LLCUBSanti-money-laundering deficiencies2016FINRA$16,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2016FINRA$7,030,000
VALIC Financial Advisors, Inc.American International Groupinvestor protection violation2016FINRA$1,750,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016FINRA$3,425,000
VOYA Financial Advisors Inc.Voya Financialinvestor protection violation2016FINRA$4,550,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americainvestor protection violation2016FINRA$2,800,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016FINRA$850,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2016FINRA$12,500,000
Barclays Capital Inc.Barclaysinvestor protection violation2016FINRA$1,300,000
Prudential Annuities Distributors, Inc.Prudential Financialinvestor protection violation2016FINRA$950,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2016FINRA$6,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2016FINRA$5,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016FINRA$2,966,000
E-Trade Securities LLCMorgan Stanleyinvestor protection violation2016FINRA$900,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialanti-money-laundering deficiencies2016FINRA$17,000,000
MetLife Securities, Inc.MetLifeinvestor protection violation2016FINRA$25,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016FINRA$675,000
JP Morgan Chase BankJPMorgan Chaseworkplace whistleblower retaliation2016OSHA$203,323
El Paso Electric CompanyJPMorgan Chaseutility service violation2016TX-PUC$7,000
IAC Group North AmericaInvescoenvironmental violation2016NC-ENV$6,751
Bank of AmericaCorp.Bank of Americaprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
BarclaysPLCBarclaysprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
BNP ParibasSABNP Paribasprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2016private lawsuit-federal$23,000,000
CitigroupInc.Citigroupprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Credit Suisse GroupAGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Deutsche BankAGDeutsche Bankprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Goldman Sachs GroupInc.Goldman Sachsprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
HSBC Holdings PLCHSBCprice-fixing or anti-competitive practices2016private lawsuit-federal$35,000,000
HSBC HoldingsPLCHSBCprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
J.P. Morgan Chase& Co.JPMorgan Chaseprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Morgan StanleyMorgan Stanleyprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
National Westminster Bank plcNatWest Group PLCprice-fixing or anti-competitive practices2016private lawsuit-federal$3,500,000
Piper Jaffray & Co.Piper Sandlerprice-fixing or anti-competitive practices2016private lawsuit-federal$9,750,000
Royal Bank of Scotland GroupPLCNatWest Group PLCprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Societe Generale, S.A.Societe Generaleprice-fixing or anti-competitive practices2016private lawsuit-federal$25,412,500
UBS AGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$32,000,000
UBS Group AGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
GMAC Mortgage LLCAlly Financialconsumer protection violation2016private lawsuit-federal$13,000,000
American Express Bank FSBAmerican Expressconsumer protection violation2016private lawsuit-federal$4,000,000
Assurant Inc.Assurantconsumer protection violation2016private lawsuit-federal$14,050,000
Bank of America N.A.Bank of Americaconsumer protection violation2016private lawsuit-federal$3,000,000
Bank of America, N.A.Bank of Americaconsumer protection violation2016private lawsuit-federal$27,500,000
BancorpSouth BankCadence Bankconsumer protection violation2016private lawsuit-federal$24,000,000
Citigroup Inc.Citigroupconsumer protection violation2016private lawsuit-federal$13,500,000
Credit SuisseUBSconsumer protection violation2016private lawsuit-federal$110,000,000
Goldman SachsGoldman Sachsconsumer protection violation2016private lawsuit-federal$272,000,000
Goldman Sachs Group Inc.Goldman Sachsconsumer protection violation2016private lawsuit-federal$27,500,000
HSBC Bank U.S.A. N.A.HSBCconsumer protection violation2016private lawsuit-state$32,000,000
Litton Loan Servicing LPOcwen Financialconsumer protection violation2016private lawsuit-federal$4,121,000
PNC Bank N.A.PNC Financial Servicesconsumer protection violation2016private lawsuit-federal$24,000,000
PNC Bank N.A.PNC Financial Servicesconsumer protection violation2016private lawsuit-federal$32,300,000
Sentry InsuranceSentry Insuranceconsumer protection violation2016private lawsuit-federal$5,718,825
U.S. Bank NAU.S. Bancorpconsumer protection violation2016private lawsuit-federal$14,050,000
Unum Life Insurance Company of AmericaUnumconsumer protection violation2016private lawsuit-federal$45,998,014
Wells Fargo & Co.Wells Fargoconsumer protection violation2016private lawsuit-federal$25,750,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2016private lawsuit-federal$203,000,000
Western Union Co.Western Unionconsumer protection violation2016private lawsuit-federal$133,000,000
Bank Of AmericaBank of Americawage and hour violation2016MI-LEO$23,500
Bank Of AmericaBank of Americawage and hour violation2016MI-LEO$23,500
Northwestern MutualNorthwestern Mutualwage and hour violation2016MI-LEO$34,371
Northwestern MutualNorthwestern Mutualwage and hour violation2016MI-LEO$68,815
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$6,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$15,400
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$12,934
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2016OSHA$10,000
CASH AMERICAFirstCashworkplace safety or health violation2016OSHA$8,500
NEOVIA LOGISTICS DISTRIBUTION, LLCGoldman Sachsworkplace safety or health violation2016OSHA$5,000
THE KANSAS CITY STARChatham Asset Managementworkplace safety or health violation2016OSHA$23,696
Buckeye Caribbean Terminals, LLCIFM Investorsenvironmental violation2016EPA$9,600
CHEMOIL CORPORATIONGlencoreenvironmental violation2016EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $27,000,000
Vitol, Inc.Vitolenvironmental violation2016EPA$17,934
Vitol Inc.Vitolenvironmental violation2016EPA$9,814
El Paso ElectricJPMorgan Chaseenvironmental violation2015EPA$3,800,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2015PHMSA$89,400
Green Tree Servicing LLCDitech Holding Corporationconsumer protection violation2015FTC$63,000,000
EZCORP Inc.EZCORP Inc.consumer protection violation2015CFPB$10,500,000
Fifth Third BankFifth Third Bancorpconsumer protection violation2015CFPB$21,500,000
Hudson City Savings BankM&T Bankbanking violation2015CFPB$32,750,000
Encore Capital GroupEncore Capital Groupconsumer protection violation2015CFPB$52,000,000
Springstone Financial, LLCLendingClub Corp.consumer protection violation2015CFPB$700,000
Citizens Bank, N.A.Citizens Financial Groupconsumer protection violation2015CFPB$18,500,000
Discover BankDiscover Financial Servicesconsumer protection violation2015CFPB$18,500,000
Citibank N.A.Citigroupconsumer protection violation2015CFPB$733,800,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CFPB$186,000,000
Affinion Group Holdings, Inc.JPMorgan Chaseconsumer protection violation2015CFPB$8,700,000
Provident Funding AssociatesProvident Funding Associatesconsumer protection violation2015CFPB$9,000,000
PayPal Inc.PayPal Holdingsconsumer protection violation2015CFPB$25,000,000
Regions BankRegions Financialconsumer protection violation2015CFPB$7,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.