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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 .
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2015FINRA$15,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2014FINRA$15,000,000
TitleMax and TMX FinanceTMX Financeconsumer protection violation2023CFPB$15,000,000
UBS Financial ServicesUBSinvestor protection violation2016SEC$15,025,882
Guaranteed Rate Inc.Guaranteed Rate Inc.False Claims Act and related2020DOJ_CIVIL$15,060,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2020CFPB$15,079,308
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2007FINRA$15,200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2022FINRA$15,200,000
CashCall, Inc.CashCall Inc.consumer protection violation2017VA-AG$15,335,000
El Paso Electric CorporationJPMorgan Chaseenergy market violation2003FERC$15,500,000
USAA Federal Savings BankUSAAconsumer protection violation2019CFPB$15,500,000
HSBC BankHSBCwage and hour violation2013private lawsuit-federal$15,625,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2018SEC$15,700,000
Midland States BancorpMidland States Bancorpdiscriminatory practices (non-employment)2014HUD$15,950,000
U.S. Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2020SEC$15,992,441
Riggs BankPNC Financial Servicesanti-money-laundering deficiencies2005USAO$16,000,000
PNC BankPNC Financial Serviceswage and hour violation2017private lawsuit-federal$16,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2014private lawsuit-federal$16,000,000
Gabelli Funds LLCGamco Investors Inc.investor protection violation2008SEC$16,000,000
Morgan StanleyMorgan Stanleyemployment discrimination2008private lawsuit-federal$16,000,000
Citigroup Global Markets, Inc.Citigroupconsumer protection violation2014NY-AG$16,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000
Wells Fargo & CompanyWells FargoAmericans with Disabilities Act2011DOJ_RIGHTS$16,055,000
Sovereign Bank N.A.Banco Santanderbanking violation2013OCC$16,086,180
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2019SEC$16,178,850
Mellon Bank, N.A.Bank of New York MellonFalse Claims Act and related2007DOJ_CIVIL$16,500,000
Credit Suisse Securities (USA) LLCCredit Suisseanti-money-laundering deficiencies2016FINRA$16,500,000
Bank of America N.A.Bank of Americaeconomic sanction violation2014OFAC$16,562,700
Bank of AmericaBank of Americawage and hour violation2010private lawsuit-state$16,650,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2017private lawsuit-federal$16,666,667
Zurich Capital Markets Inc.Zurich Insuranceinvestor protection violation2007SEC$16,800,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2007SEC$17,000,000
ChubbChubb Limitedprice-fixing or anti-competitive practices2006MULTI-AG$17,000,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012MULTI-AG$17,000,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2018NY-DFS$17,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialanti-money-laundering deficiencies2016FINRA$17,000,000
Kemper Corp.Kemperprivacy violation2022private lawsuit-federal$17,100,000
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.Deutsche Bankinvestor protection violation2006SEC$17,200,000
Wells FargoWells Fargotoxic securities abuses2018IL-AG$17,250,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009SEC$17,300,000
Countrywide Securities Corp.Bank of Americamortgage abuses2013MA-AG$17,300,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2019SEC$17,363,847
UnumProvident CorporationUnumconsumer protection violation2006NY-AG$17,400,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSinvestor protection violation2015SEC$17,500,000
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2011private lawsuit-federal$17,500,000
United States Fidelity & GuarantyTravelersFalse Claims Act and related2007CT-AG$17,500,000
VITOL, S.A.Vitolkickbacks and bribery2007NY-MANDA$17,500,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2013MA-SEC$17,500,000
Societe Generale Private Banking (Suisse) SASociete Generaletax violations2015DOJ_TAX$17,807,000
Citibank, N.A.Citigroupbanking violation2020OCC$17,998,510
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2015CFTC$18,000,000
MoneyGram International, Inc.MoneyGram Internationalconsumer protection violation2009FTC$18,000,000
Coast National InsuranceZurich Insurancewage and hour violation2002private lawsuit-state$18,000,000
Allianz Dresdner Asset Management of America LPAllianzinvestor protection violation2004NJ-AG$18,000,000
Franklin/Templeton Distributors, Inc.Franklin Resourcesinvestor protection violation2004CA-AG$18,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MULTI-FIN$18,000,000
RBS Financial Products, Inc.NatWest Group PLCtoxic securities abuses2020MD-AG$18,000,000
Charles Schwab & Company, Inc.Charles Schwab Corp.investor protection violation2011FINRA$18,000,000
LendingClub Corp.LendingClub Corp.consumer protection violation2021FTC$18,000,000
Cleco PowerMacquarieutility administrative violation2004LA-PSC$18,000,000
Mellon Bank N.A.Bank of New York MellonFalse Claims Act and related2006USAO$18,130,405
Allstate Life Insurance Company of New YorkAllstateinsurance violation2007NY-DFS$18,250,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2020SEC$18,252,341
Citigroup Global MarketsCitigroupinvestor protection violation2017SEC$18,300,000
Citizens Bank, N.A.Citizens Financial Groupconsumer protection violation2015CFPB$18,500,000
Discover BankDiscover Financial Servicesconsumer protection violation2015CFPB$18,500,000
Wilmington TrustM&T Bankaccounting fraud or deficiencies2014SEC$18,500,000
Deutsche BankDeutsche Bankinvestor protection violation2016SEC$18,500,000
UBS Financial Services Incorporated of Puerto RicoUBSinvestor protection violation2015FINRA$18,500,000
Wells Fargo & Co.Wells Fargoemployment discrimination2021private lawsuit-federal$18,700,000
Cash America International Inc.FirstCashpayday lending violation2013CFPB$19,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$19,000,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$19,000,000
Metropolitan Life Insurance CompanyMetLifeconsumer protection violation2006NY-AG$19,000,000
Nationwide Mutual Insurance CompanyNationwideFair Credit Reporting Act violation2006private lawsuit-federal$19,250,000
Amerisave Mortgage Corporation and Novo Appraisal Management CompanyAmeriSave Mortgageconsumer protection violation2014CFPB$19,300,000
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankinvestor protection violation2006SEC$19,329,729
Western Asset Management CompanyFranklin Resourcesinvestor protection violation2014SEC$19,400,000
UBS AGUBSinvestor protection violation2015SEC$19,500,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americatoxic securities abuses2016VA-AG$19,500,000
John Hancock Investment Management Services, LLCManulife Financialinvestor protection violation2007SEC$19,787,879
Oppenheimer & Co., Inc.Oppenheimer Holdingsanti-money-laundering deficiencies2015FINCEN$20,000,000
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LPBank of Americamortgage abuses2011DOJ_CIVIL$20,000,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2015SEC$20,000,000
JPMorgan Chase BankJPMorgan Chaseaccounting fraud or deficiencies2012CFTC$20,000,000
Guggenheim Partners Investment Management LLCGuggenheim Partnersinvestor protection violation2015SEC$20,000,000
New York Stock Exchange, Inc.IntercontinentalExchange Groupinvestor protection violation2005SEC$20,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2005SEC$20,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesinvestor protection violation2004SEC$20,000,000
Wells Fargo Bank, National AssociationWells Fargoconsumer protection violation2016OCC$20,000,000
Bank of America CorporationBank of Americainvestor protection violation2014SEC$20,000,000
Wells FargoWells Fargowage and hour violation2010private lawsuit-federal$20,000,000
A.G. EdwardsWells Fargowage and hour violation2007private lawsuit-federal$20,000,000
Washington Mutual Pension PlanJPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$20,000,000
CitigroupCitigrouptoxic securities abuses2008MA-AG$20,000,000
OppenheimerFunds Inc.Invescoinvestor protection violation2009OR-AG$20,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018IL-AG$20,000,000
The Hartford Financial Services GroupHartford Financial Servicesinvestor protection violation2006MULTI-AG$20,000,000
UniCredit Bank Austria AGUniCrediteconomic sanction violation2019NY-MANDA$20,000,000
ABN AMROABN AMROeconomic sanction violation2005NY-DFS$20,000,000
AXA EquitableEquitable Holdingsinsurance violation2014NY-DFS$20,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.