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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
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$40,423
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$30,800
The Bank of New YorkBank of New York Melloneconomic sanction violation2005OFAC$5,844
Union Bank of CaliforniaU.S. Bancorpeconomic sanction violation2005OFAC$5,500
Wachovia BankWells Fargoeconomic sanction violation2005OFAC$5,500
Wells Fargo BankWells Fargoeconomic sanction violation2005OFAC$42,833
Lasalle Bank MidWest National AssociationBank of Americabanking violation2005OCC$6,250,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2005OCC$180,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2005OCC$115,000
City National BankRoyal Bank of Canadabanking violation2005OCC$750,000
First National Bank of OmahaFirst National of Nebraskabanking violation2005OCC$20,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$30,000,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005SEC$72,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$125,000,000
Huntington Bancshares, Inc.Huntington Bancsharesaccounting fraud or deficiencies2005SEC$7,500,000
Citigroup, Inc.Citigroupinvestor protection violation2005SEC$208,000,000
New York Stock Exchange, Inc.IntercontinentalExchange Groupinvestor protection violation2005SEC$20,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2005SEC$20,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLCBank of Americainvestor protection violation2005SEC$375,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialinvestor protection violation2005SEC$140,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2005SEC$40,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2005SEC$40,000,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2005SEC$10,000,000
Oppenheimer & Company, Inc.Oppenheimer Holdingsanti-money-laundering deficiencies2005FINCEN$2,800,000
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2005HUD$680,000
Chicago Title Insurance CompanyFidelity National Financialmortgage abuses2005HUD$5,000,000
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLANAmerican International Groupbenefit plan administrator violation2005EBSA$50,001
Huntington National BankHuntington Bancshareswage and hour violation2005WHD$51,259
J P Morgan Chase BankJPMorgan Chasewage and hour violation2005WHD$6,688
Nationwide Mutual Insurance CompanyNationwidewage and hour violation2005WHD$16,185
The Cincinnati Insurance CompaniesCincinnati FinancialFamily and Medical Leave Act2005WHD$15,000
Ace Cash Express, Inc.ACE Cash Expresswage and hour violation2005WHD$12,796
Nationwide Credit, Inc.Altisource Portfolio Solutionswage and hour violation2005WHD$68,433
Scott Danahy Naylon Co. Inc.Financial Institutions Inc.wage and hour violation2005WHD$5,495
Compass BankPNC Financial Serviceswage and hour violation2005WHD$810,122
Compass BankPNC Financial Serviceswage and hour violation2005WHD$5,105
Synagro Technologies, IncGoldman Sachswage and hour violation2005WHD$149,141
Synagro West, LLCGoldman Sachswage and hour violation2005WHD$97,862
Fidelity National Financial, Inc.Fidelity National Financialwage and hour violation2005WHD$778,391
Bank of AmericaBank of Americawage and hour violation2005WHD$12,824
Washington Mutual, Inc.JPMorgan Chasewage and hour violation2005WHD$404,982
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2005WHD$9,830
Towers PerrinWillis Towers Watsonwage and hour violation2005WHD$105,865
Towers, Perrin, Forrester & CrosbyWillis Towers Watsonwage and hour violation2005WHD$294,279
TIAATIAAwage and hour violation2005WHD$327,168
The First American Title Insurance, Co.First American Financialwage and hour violation2005WHD$24,067
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankwage and hour violation2005WHD$55,208
Goodrich Aviation Technical Services, Inc.Macquariewage and hour violation2005WHD$47,369
USAA InsuranceUSAAlabor relations violation2005NLRB$125,361
Watson Wyatt & Co.Willis Towers Watsonlabor relations violation2005NLRB$91,000
CINCINNATI BELL TELEPHONE A DIVISION OF BROADWINGMacquarielabor relations violation2005NLRB$5,000
Wheelabrator Westchester, L.P.Macquarielabor relations violation2005NLRB$13,000
CIT Group Inc.First Citizens BancSharesexport control violation2005BIS$74,800
The Bank of New YorkBank of New York Mellonanti-money-laundering deficiencies2005USAO$38,000,000
Riggs BankPNC Financial Servicesanti-money-laundering deficiencies2005USAO$16,000,000
Liberty MutualLiberty Mutual Insurancewage and hour violation2005private lawsuit-federal$6,400,000
Allstate InsuranceAllstatewage and hour violation2005private lawsuit-state$120,000,000
Countrywide FinancialBank of Americawage and hour violation2005private lawsuit-state$30,000,000
State FarmState Farm Insurancewage and hour violation2005private lawsuit-state$135,000,000
Combined Insurance Company of AmericaChubb Limitedemployment discrimination2005private lawsuit-federal$8,500,000
Ocwen FinancialOcwen Financialemployment discrimination2005private lawsuit-state$2,000,000
CIBC World Markets CorporationCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$496,598
State Street Research & Management CompanyBlackRockinvestor protection violation2005SEC$585,743
Legg Mason Wood Walker, IncorporatedFranklin Resourcesinvestor protection violation2005SEC$1,000,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2005SEC$500,000
Prudential Equity Group, LLCPrudential Financialinvestor protection violation2005SEC$125,000
UBS Securities LLCUBSinvestor protection violation2005SEC$700,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americainvestor protection violation2005SEC$1,500,000
Credit Suisse First Boston, LLCUBSinvestor protection violation2005SEC$200,000
Fiserv Securities, Inc.Fidelity Investmentsinvestor protection violation2005SEC$15,000,000
Putnam Investment Management, LLCFranklin Resourcesinvestor protection violation2005SEC$40,000,001
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2005SEC$700,000
HSBC Bank USAHSBCbenefit plan administrator violation2005private lawsuit-federal$9,350,000
1st Financial Bank U.S.A.1st Financial Bank USAbanking violation2005WI-AG$43,142
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NJ-AG$5,000,000
Aon CorporationAonprice-fixing or anti-competitive practices2005MULTI-AG$190,000,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.consumer protection violation2005IL-AG$27,000,000
BB&T Leasing CompanyTruist Financialconsumer protection violation2005NY-AG$159,097
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Capital One BankCapital One Financialbanking violation2005WI-AG$80,032
CIT Group/Equipment Financing, Inc.First Citizens BancSharesconsumer protection violation2005MULTI-AG$10,000,000
CIT Technology Financing Services, Inc.First Citizens BancSharesconsumer protection violation2005NJ-AG$4,360,000
De Lage Landen Financial Services, Inc.Rabobankconsumer protection violation2005MULTI-AG$872,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
HealthNow New YorkHighmark Inc.consumer protection violation2005NY-AG$5,000
Marsh & McLennan Companies, Inc.Marsh & McLennanprice-fixing or anti-competitive practices2005MULTI-AG$850,000,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005NJ-AG$10,000,000
Midland Credit Management, Inc.Encore Capital Groupconsumer protection violation2005WV-AG$3,500,000
Morgan Stanley DWMorgan Stanleyinvestor protection violation2005DE-AG$700,000
Nationwide Life InsuranceNationwideconsumer protection violation2005MA-AG$650,000
St. Paul Travelers Companies Inc.Travelersinvestor protection violation2005NM-AG$67,500,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceconsumer protection violation2005TX-AG$10,000,000
State Farm Mutual Insurance CompanyState Farm Insuranceconsumer protection violation2005MULTI-AG$41,000,000
SunTrust BankTruist Financialbanking violation2005WI-AG$10,107
U.S. BancorpU.S. Bancorpconsumer protection violation2005CA-AG$2,600,000
Unum Life Insurance Co.UnumFalse Claims Act and related2005MA-AG$650,000
Wells Fargo Financial Leasing, Inc.Wells Fargoconsumer protection violation2005MULTI-AG$10,000,000
Western Union Financial ServicesWestern Unionconsumer protection violation2005MULTI-AG$8,529,000
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2005NY-AG$50,000,000
Israel Discount Bank of New YorkIsrael Discount Bankanti-money-laundering deficiencies2005NY-MANDA$8,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.