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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$380,015,282,562
Number of Records: 7,409
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$87,232,669,824317
JPMorgan Chase$38,995,638,319266
Wells Fargo$27,482,918,911259
Deutsche Bank$19,968,467,56396
Goldman Sachs$17,469,794,852102
NatWest Group PLC$14,349,701,61842
Morgan Stanley$10,535,931,900197
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 icon . AgencyPenalty Amount
Southwest Securities Inc.Hilltop Holdingsinvestor protection violation2000FINRA$500,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$100,000
Morgan Stanley & Co., Inc.Morgan Stanleyinvestor protection violation2000FINRA$495,000
Countrywide Home LoansBank of Americaenvironmental violation2000CA-SCAQMD$5,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000private lawsuit-federal$105,000,000
Western Union Co.Western Unionconsumer protection violation2000private lawsuit-federal$375,000,000
WHEELABRATOR SHASTA ENERGY CO.Macquarieworkplace safety or health violation2000OSHA$10,275
DEPOSITORY TRUST & CLEARING CORP.Depository Trustworkplace safety or health violation2000OSHA$13,000
BUCKEYE PIPELINEIFM Investorsenvironmental violation2000EPA$15,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.