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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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 TypeYearAgencyPenalty Amount sort icon
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005CO-SEC$259,227
FCStone, LLC and Commodity Operations Inc.StoneX Groupinvestor protection violation2012CFTC$260,000
American General Life Insurance Co.American International Groupinsurance violation2008FL-OFR$260,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2022MA-SEC$262,092
PROGRESSIVE ADVANCED INSURANCE CO.Progressiveinsurance violation2015VA-INS$263,479
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2005MULTI-FIN$264,079
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co.State Farm Insuranceinsurance violation2019VT-FIN$265,000
Bank of America CorporationBank of Americawage and hour violation2006WHD$265,774
UBS SecuritiesUBSinvestor protection violation2009FINRA$268,000
MERRILL LYNCH PIERCE FENNER &Bank of Americainvestor protection violation2004VA-SEC$268,723
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2017IL-SEC$270,000
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$270,379
Santander Securities LLCBanco Santanderinvestor protection violation2019SEC$270,539
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2014PHMSA$271,300
Navigators Insurance CompanyHartford Financial Serviceseconomic sanction violation2015OFAC$271,815
Harris N.A.Bank of Montrealbenefit plan administrator violation2007EBSA$274,600
First BancorpFirst Bancorp (North Carolina)accounting fraud or deficiencies2015SEC$275,000
LPL Financial CorporationLPL Financialinvestor protection violation2008SEC$275,000
State Farm Mutual Automobile Insurance Co. et al.State Farm Insuranceinsurance violation2009IN-INS$275,000
NYLIFE Securities, LLCNew York Life Insuranceinvestor protection violation2017IN-SEC$275,000
US Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2010FINRA$275,000
Credit Suisse Securities (USA), LLCUBSinvestor protection violation2009FINRA$275,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009FINRA$275,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005FINRA$275,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$275,000
Navient Corp.Navientconsumer protection violation2018private lawsuit-federal$275,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2016MULTI-AG$277,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010MO-SEC$277,500
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015FINRA$278,544
American International Group, Inc.American International Groupeconomic sanction violation2014OFAC$279,038
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2014CFTC$280,000
E*TRADE Securities LLCMorgan Stanleyinvestor protection violation2017CFTC$280,000
INTL FCStone Financial Inc.StoneX Groupinvestor protection violation2017CFTC$280,000
Wells Fargo BankWells Fargowage and hour violation2012private lawsuit-federal$280,000
Time Insurance Co.Haven Holdingsinsurance violation2010WI-INS$280,000
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
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005FINRA$280,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2004FINRA$280,469
Bank of the WestBank of Montrealbanking violation2021FDIC$281,000
Wells Fargo Bank N.A.Wells Fargoemployment discrimination2019OFCCP$283,697
Buckeye Partners, LPIFM Investorswage and hour violation2017WHD$284,265
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2021VT-FIN$287,000
UBS Financial Services Inc.UBSinvestor protection violation2019VA-SEC$288,970
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2013PHMSA$290,000
Wells Fargo Bank, N.A.Wells Fargoemployment discrimination2014EEOC$290,000
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$290,262
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2017NJ-DBI$291,824
Nationwide Agribusiness Insurance Co. and Farmland Mutual Insurance Co.Nationwideinsurance violation2013MO-INS$292,250
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$294,023
Towers, Perrin, Forrester & CrosbyWillis Towers Watsonwage and hour violation2005WHD$294,279
Wells Fargo & CompanyWells Fargoemployment discrimination2014EEOC$295,000
CUSO Financial Services, L.P.Atria Wealth Solutionsinvestor protection violation2019SEC$296,750
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2017MULTI-FIN$298,958
Highmark BCBSD IncHighmark Inc.insurance violation2020DE-INS$299,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2007CA-INS$299,500
UBS Global Asset ManagementUBSinvestor protection violation2012SEC$300,000
Morgan StanleyMorgan Stanleyinvestor protection violation2015CFTC$300,000
J.P. Morgan Futures, Inc.JPMorgan Chasedata submission deficiencies2009CFTC$300,000
Vanguard GroupVanguard Groupemployment discrimination2010EEOC$300,000
SunTrust BankTruist Financialemployment discrimination2014EEOC$300,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2017SEC$300,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2013SEC$300,000
Republic Bank & Trust CompanyRepublic Bancorpbanking violation2018FDIC$300,000
Insurance Company of the State of PennsylvaniaAmerican International GroupFalse Claims Act and related2016NV-AG$300,000
Merrill LynchBank of Americatoxic securities abuses2009MA-AG$300,000
PNC Bank, National AssociationPNC Financial Servicesinvestor protection violation2019CFTC$300,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019CFTC$300,000
Mercury Insurance GroupMercury General Corporationinsurance violation2006CA-INS$300,000
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2018CA-DFPI$300,000
LPL Financial Corp.LPL Financialinvestor protection violation2010IL-SEC$300,000
Time Insurance CompanyHaven Holdingsinsurance violation2016SD-INS$300,000
COMMONWEALTH LAND TITLE INSURANCE CO. ET AL.Fidelity National Financialinsurance violation2006VA-INS$300,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2016VT-FIN$300,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$300,000
AGCS Marine Insurance CompanyAllianzinsurance violation2015WA-INS$300,000
Farmers Insurance Company Of WashingtonZurich Insuranceinsurance violation2015WA-INS$300,000
Bank of America, N.A.Bank of AmericaAmericans with Disabilities Act2020DOJ_RIGHTS$300,000
Gain Capital Group, LLCStoneX Groupinvestor protection violation2020CFTC$300,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2015FINRA$300,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2009FINRA$300,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2008FINRA$300,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$300,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007FINRA$300,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2005FINRA$300,000
Edward Jones & Co., LPJones Financialinvestor protection violation2004FINRA$300,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2004FINRA$300,000
Prudential Retirement Insurance and Annuity CompanyPrudential Financialinsurance violation2021CT-INS$300,000
Edward D. Jones & Co., LPJones Financialinvestor protection violation2024PA-BKG$300,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020NY-DFS$300,800
TIAA-CREFTIAAlabor relations violation2016NLRB$304,216
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009DE-AG$309,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2009DE-AG$309,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2022UT-INS$317,750
TOPS PRODUCTS, A DIVISION OF R.R. DONNELLEY & SONSChatham Asset Managementenvironmental violation2015EPA$318,000
Cadence BankCadence Bankbanking violation2022FDIC$320,500
CitigroupCitigroupwage and hour violation2017private lawsuit-federal$325,000
Umpqua BankUmpqua Holdingsemployment screening violation2019private lawsuit-federal$325,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.