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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$347,416,567,662
Number of Records: 7,172
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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 .
H&R BlockH&R Blockwage and hour violation2012private lawsuit-state$7,500,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2007SEC$7,500,000
Edward Jones & Co.Jones Financialinvestor protection violation2008CA-AG$7,500,000
Old Second Bancorp, Inc.Old Second Bancorpbenefit plan administrator violation2013private lawsuit-federal$7,500,000
Wheelabrator Saugus, Wheelabrator Andover and Wheelabrator MillburyMacquarieenvironmental violation2011MA-AG$7,500,000
BGC Financial LPBGC Partnersprice-fixing or anti-competitive practices2019NY-AG$7,500,000
Bank of America Corp.Bank of Americaanti-money-laundering deficiencies2006NY-MANDA$7,500,000
American GeneralAmerican International Groupinsurance violation2000MULTI-FIN$7,500,000
Wells FargoWells Fargodiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
Wells Fargo Bank, N.A.Wells Fargodiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2010FINRA$7,500,000
Bank of America CorporationBank of Americainvestor protection violation2014SEC$7,650,000
PayPal Inc.PayPal Holdingseconomic sanction violation2015OFAC$7,658,300
Globe Life Insurance Company of New YorkGlobe Life Inc.insurance violation2019NY-DFS$7,769,000
CitiMortgage, Inc.Citigroupconsumer protection violation2019CA-DFPI$7,800,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2010NC-SEC$7,800,000
Wells Fargo Bank, N.A.Wells Fargoemployment discrimination2020OFCCP$7,800,000
CitibankCitigroupconsumer protection violation2016CFPB$7,890,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2007SEC$7,957,200
Zions First National BankZions Bancorporationbanking violation2011OCC$8,000,000
UBS Securities LLCUBSinvestor protection violation2011SEC$8,000,000
Nationwide Life Insurance CompanyNationwideinvestor protection violation2015SEC$8,000,000
Credit Agricole S.A.Credit Agricolebanking violation2004FED$8,000,000
Crawford Healthcare Management of Norfolk & BaltimoreCrawford & Co.fraud2003DOJ_CRIMINAL$8,000,000
Fidelity InvestmentsFidelity Investmentskickbacks and bribery2008SEC$8,000,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2017SEC$8,000,000
Morgan StanleyMorgan Stanleymortgage abuses2018FED$8,000,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2010private lawsuit-federal$8,000,000
Affinion Group, Inc.JPMorgan Chaseconsumer protection violation2010NY-AG$8,000,000
American International Group Inc.American International Groupinvestor protection violation2010OR-AG$8,000,000
Wells FargoWells Fargoconsumer protection violation2016WV-AG$8,000,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2002NY-DFS$8,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2019FINRA$8,000,000
Brown Brothers Harriman & Co.Brown Brothers Harrimananti-money-laundering deficiencies2014FINRA$8,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019SEC$8,014,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$8,100,000
UBS Financial Services Inc.UBSinvestor protection violation2021SEC$8,112,174
Popular, Inc.Popular Inc.benefit plan administrator violation2012private lawsuit-federal$8,200,000
MoneyGram International Inc.MoneyGram Internationalanti-money-laundering deficiencies2022NY-DFS$8,250,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2018private lawsuit-federal$8,333,333
SG Americas Securities, LLCSociete Generaleinvestor protection violation2009SEC$8,384,932
First BanCorpFirst Bancorp (Puerto Rico)accounting fraud or deficiencies2007SEC$8,500,000
Combined Insurance Company of AmericaChubb Limitedemployment discrimination2005private lawsuit-federal$8,500,000
Citigroup Inc.Citigroupbenefit plan administrator violation2014private lawsuit-federal$8,500,000
Wells Fargo BankWells Fargoprivacy violation2016CA-AG$8,500,000
Israel Discount Bank of New YorkIsrael Discount Bankanti-money-laundering deficiencies2005NY-MANDA$8,500,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2009MULTI-FIN$8,500,000
Western Union Financial ServicesWestern Unionconsumer protection violation2005MULTI-AG$8,529,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2011IL-SEC$8,567,364
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupeconomic sanction violation2012OFAC$8,571,634
Unum Life Insurance Company of America et al.Unuminsurance violation2005CA-INS$8,598,503
CitigroupCitigroupbanking violation2018FED$8,600,000
Providian Financial Corp.JPMorgan Chasebenefit plan administrator violation2003private lawsuit-federal$8,600,000
Affinion Group Holdings, Inc.JPMorgan Chaseconsumer protection violation2015CFPB$8,700,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2015FINRA$8,700,000
Buckeye Pipe Line Company, L.P. and West Shore Pipe Line ComanyIFM Investorsenvironmental violation2021IL-ENV$8,700,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2017SEC$8,750,000
Citizens BankCitizens Financial Groupbanking violation2015FDIC$8,800,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2015SEC$8,800,000
Transamerica Financial Advisors, Inc.Aegoninvestor protection violation2020FINRA$8,800,000
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americainvestor protection violation2018SEC$8,872,723
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2018SEC$8,900,000
Household Finance Corp. of California and Beneficial California, Inc.HSBCmortgage abuses2002CA-DFPI$8,900,000
Provident Funding AssociatesProvident Funding Associatesconsumer protection violation2015CFPB$9,000,000
AMERICAN EXPRESS COMPANYAmerican Expressbanking violation2012FED$9,000,000
TMX Finance LLCTMX Financeconsumer protection violation2016CFPB$9,000,000
Union Savings Bank and Guardian Savings BankUnion Savings Bankdiscriminatory practices (non-employment)2016DOJ_RIGHTS$9,000,000
Bank of AmericaBank of Americawage and hour violation2015private lawsuit-federal$9,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2012private lawsuit-federal$9,000,000
Bank of AmericaBank of Americawage and hour violation2006private lawsuit-federal$9,000,000
ACE LimitedChubb Limitedprice-fixing or anti-competitive practices2007PA-AG$9,000,000
American International GroupAmerican International Groupprice-fixing or anti-competitive practices2010OH-AG$9,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2016VA-AG$9,000,000
CashCall and Western SkyCashCall Inc.consumer protection violation2016NC-AG$9,000,000
Prudential Insurance Company Of AmericaPrudential Financialbenefit plan administrator violation2019private lawsuit-federal$9,000,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2020CFTC$9,000,000
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2020OFCCP$9,000,000
LPL Financial LLCLPL Financialinvestor protection violation2013FINRA$9,000,000
Credit Suisse SecuritiesCredit Suisseinvestor protection violation2022FINRA$9,000,000
Nationstar Mortgage, LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2017CA-DFPI$9,118,784
American International Insurance Group Inc.American International Groupinsurance violation2008PA-INS$9,125,400
Towers PerrinWillis Towers Watsonbenefit plan administrator violation2011private lawsuit-federal$9,200,000
Western Sky Financial LLC et al.CashCall Inc.consumer protection violation2016NC-BKG$9,275,000
Goldman SachsGoldman Sachsinvestor protection violation2003SEC$9,305,382
LPL Financial LLCLPL Financialinvestor protection violation2019SEC$9,333,516
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015DOJ_RIGHTS$9,350,000
HSBC Bank USAHSBCbenefit plan administrator violation2005private lawsuit-federal$9,350,000
Liberty National Life Insurance CompanyGlobe Life Inc.discriminatory practices (non-employment)2006private lawsuit-federal$9,350,000
Massachusetts Mutual Life Insurance Co.Massachusetts Mutual Life Insurancebenefit plan administrator violation2015private lawsuit-federal$9,475,000
Deutsche Bank SecuritiesDeutsche Bankinvestor protection violation2016SEC$9,500,000
PNC Bank N.A.PNC Financial ServicesFalse Claims Act and related2016USAO$9,500,000
Wells Fargo Advisors, LLCWells Fargowage and hour violation2018private lawsuit-federal$9,500,000
U.S. Bank Pension PlanU.S. Bancorpbenefit plan administrator violation2012private lawsuit-federal$9,600,000
General Motors Acceptance Corp.Ally Financialdiscriminatory practices (non-employment)2004private lawsuit-federal$9,600,000
Countrywide Home Loans Inc.Bank of Americawage and hour violation2015private lawsuit-federal$9,649,000
CashCall Inc.CashCall Inc.consumer protection violation2017SC-FIN$9,650,000
BlackRock Institutional Trust Company, N.A.BlackRockbenefit plan administrator violation2021private lawsuit-federal$9,650,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008SEC$9,763,634
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $9,800,000
PROGRESSIVE DIRECT INSURANCEProgressiveinsurance violation2017VA-INS$9,839,379
TD BankToronto-Dominion Bankwage and hour violation2015private lawsuit-federal$9,900,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.