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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 TypeYearAgencyPenalty Amount sort icon .
Morgan StanleyMorgan Stanleyinvestor protection violation2011NJ-AG$1,560,000
American General Life and Accident Insurance Co.American International Groupinsurance violation2006FL-OFR$1,568,324
Protective Life Insurance Co.Dai-ichi Lifeconsumer protection violation2007TX-AG$1,570,000
Bank LeumiBank Leumiinvestor protection violation2016SEC$1,600,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2018CFTC$1,600,000
Freedom MortgageFreedom Mortgagewage and hour violation2012private lawsuit-federal$1,600,000
CitibankCitigroupconsumer protection violation2002MULTI-AG$1,600,000
CitibankCitigroupconsumer protection violation2002CA-AG$1,600,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000CT-AG$1,600,000
The Equitable Life Assurance Society of the United StatesEquitable Holdingsinsurance violation2003FL-OFR$1,600,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2012MULTI-FIN$1,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FINRA$1,600,000
Countrywide Home Loans Inc.Bank of Americaconsumer protection violation2008NC-BKG$1,611,500
PrimeLending, A PlainsCapital CompanyHilltop Holdingsconsumer protection violation2016CA-DFPI$1,619,523
Wells Fargo Financial California, Inc.Wells Fargoconsumer protection violation2005CA-DFPI$1,621,010
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinvestor protection violation2012SEC$1,625,000
Deutsche Bank Securities Inc.Deutsche Bankdata submission deficiencies2002SEC$1,650,000
Goldman, Sachs & Co.Goldman Sachsdata submission deficiencies2002SEC$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleydata submission deficiencies2002SEC$1,650,000
Salomon Smith Barney Inc.Morgan Stanleydata submission deficiencies2002SEC$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerdata submission deficiencies2002SEC$1,650,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2008FINRA$1,650,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2019VT-FIN$1,656,000
BOK Financial CorporationBOK Financialinvestor protection violation2016SEC$1,667,720
Deutsche Bank Energy Trading LLDeutsche Bankprice-fixing or anti-competitive practices2013FERC$1,670,000
BlackRock Institutional Trust CompanyBlackRockinvestor protection violation2014SEC$1,675,350
John Alden Life Insurance Co. and Time Insurance Co.Assurantinsurance violation2015MT-INS$1,699,709
American General Finance Management CorporationOneMain Holdingswage and hour violation2011private lawsuit-federal$1,700,000
American Heritage Life Insurance Co.Allstateconsumer protection violation2007TX-AG$1,700,000
Mutual of Omaha Insurance Co.Mutual of Omahakickbacks and bribery2008CT-AG$1,700,000
PayPal, Inc.PayPal Holdingsconsumer protection violation2006MULTI-AG$1,700,000
RBC Dain Rauscher, Inc.Royal Bank of Canadainvestor protection violation2005FINRA$1,700,000
UBS AGUBSeconomic sanction violation2015OFAC$1,700,100
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$1,712,712
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2020private lawsuit-federal$1,720,000
Compass BankPNC Financial Servicesdiscriminatory practices (non-employment)2007DOJ_RIGHTS$1,750,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2017CFPB$1,750,000
Freedom Mortgage CorporationFreedom Mortgagemortgage abuses2019CFPB$1,750,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2011MULTI-FIN$1,750,000
Louisiana Generating, LLCMacquarieenvironmental violation2013LA-ENV$1,750,000
VALIC Financial Advisors, Inc.American International Groupinvestor protection violation2016FINRA$1,750,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2011FINRA$1,750,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2009FINRA$1,750,000
Thomas Weisel PartnersStifel Financialinvestor protection violation2005FINRA$1,750,000
Aon CorporationAonForeign Corrupt Practices Act2011DOJ_CRIMINAL$1,760,000
Principal Securities, Inc.Principal Financialinvestor protection violation2019SEC$1,764,624
American Security Insurance Co. et al.Assurantinsurance violation2005NJ-DBI$1,775,000
Aon CorporationAonbenefit plan administrator violation2010private lawsuit-federal$1,800,000
Jefferson Insurance CompanyAllianzinsurance violation2017MULTI-FIN$1,800,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsinvestor protection violation2015FINRA$1,800,000
First Unum Life Insurance Company of America and Paul Revere Life Insurance CompanyUnumprivacy violation2021NY-DFS$1,800,000
Umpqua BankUmpqua Holdingsbanking violation2021FDIC$1,800,000
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$1,800,282
Sentinel Insurance CompanyHartford Financial Servicesinsurance violation2018NY-DFS$1,816,596
PROGRESSIVE NORTHERN INSURANCE CO.Progressiveinsurance violation2018VA-INS$1,818,318
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$1,822,438
First Republic Investment Management, Inc.JPMorgan Chaseinvestor protection violation2022SEC$1,825,953
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2000MA-AG$1,840,000
Wells Fargo BankWells Fargowage and hour violation2015private lawsuit-federal$1,850,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasewage and hour violation2019private lawsuit-federal$1,850,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2019SEC$1,852,383
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$1,852,540
American Modern Home Insurance CompanyMunich Reinsurance violation2012NC-INS$1,860,000
First Tennessee BankFirst Horizon Nationaldiscriminatory practices (non-employment)2016HUD$1,900,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$1,900,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2018SEC$1,900,000
Genworth Life Insurance Co.Genworth Financialinsurance violation2014MULTI-AG$1,900,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2010NY-DFS$1,900,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009MULTI-FIN$1,900,000
Cincinnati Life Insurance CompanyCincinnati Financialdiscriminatory practices (non-employment)2004private lawsuit-state$1,900,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017MULTI-FIN$1,914,370
Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$1,921,784
The Bank of New York Mellon CorporationBank of New York Mellonemployment discrimination2022OFCCP$1,925,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2012FINRA$1,931,488
Hartford Financial Services Group Inc.Hartford Financial Servicesbenefit plan administrator violation2012private lawsuit-federal$1,935,000
Bank of America, N.A.Bank of Americaconsumer protection violation2017CA-MULTI$1,940,000
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$1,940,000
Bank of America Corp.Bank of Americaconsumer protection violation2013WV-AG$1,950,000
Citibank/Citigroup Inc.Citigroupconsumer protection violation2013WV-AG$1,950,000
Discover Financial ServicesDiscover Financial Servicesconsumer protection violation2013WV-AG$1,950,000
HSBC Finance CorporationHSBCconsumer protection violation2013WV-AG$1,950,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2013WV-AG$1,950,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2019SEC$1,950,000
J.P. Morgan ChaseJPMorgan Chasediscriminatory practices (non-employment)2010private lawsuit-federal$1,950,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2022MULTI-FIN$1,950,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015MULTI-FIN$1,965,000
Citigroup Technology IncCitigroupwage and hour violation2016WHD$1,967,689
MetLifeMetLifewage and hour violation2015private lawsuit-federal$1,970,000
ACE GroupChubb Limitedprice-fixing or anti-competitive practices2011OH-AG$1,970,000
Encompass Insurance Company of MassachusettsAllstateconsumer protection violation2012MA-AG$1,972,635
Principal Life Insurance CompanyPrincipal Financialinsurance violation2021NY-DFS$1,997,866
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2008SEC$1,998,143
Citizens Bank, National AssociationCitizens Financial Groupbanking violation2015OCC$2,000,000
PNC Bank, National AssociationPNC Financial Servicesbanking violation2014OCC$2,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2011OCC$2,000,000
PrimeLendingHilltop Holdingsmortgage abuses2010DOJ_RIGHTS$2,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.