Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon .
CitiFinancial Servicing and CitiMortgage, Inc.Citigroupconsumer protection violation2017CFPB$28,800,000
U.S. Bank National AssociationU.S. Bancorpmortgage abuses2020DOJ_UTP$29,000,000
Jardine Lloyd Thompson Group Holdings Ltd.Marsh & McLennanForeign Corrupt Practices Act2022DOJ_CRIMINAL$29,081,951
Walter Investment Management Corp.Ditech Holding CorporationFalse Claims Act and related2015DOJ_CIVIL$29,630,000
Credit Suisse Group AGCredit SuisseForeign Corrupt Practices Act2018SEC$29,700,000
Wilmington Trust N.A.M&T Bankbenefit plan administrator violation2017private lawsuit-federal$29,773,250
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2015OCC$30,000,000
Bank of America, National AssociationBank of Americabanking violation2015OCC$30,000,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$30,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018CFTC$30,000,000
Countrywide FinancialBank of Americawage and hour violation2005private lawsuit-state$30,000,000
Wachovia National Bank, N.A.Wells Fargobenefit plan administrator violation2000EBSA$30,000,000
Bank of America, N.A.Bank of Americaprice-fixing or anti-competitive practices2018CFTC$30,000,000
Liberty Mutual Retirement Benefit PlanLiberty Mutual Insurancebenefit plan administrator violation2018private lawsuit-federal$30,000,000
AffinionJPMorgan Chaseconsumer protection violation2013MULTI-AG$30,000,000
Credit Suisse SecuritiesCredit Suisseinvestor protection violation2016NY-AG$30,000,000
Citibank, N.A.Citigroupbanking violation2019OCC$30,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2013MA-SEC$30,000,000
Bank Hapoalim B.M.Bank Hapoalimanti-money-laundering deficiencies2020DOJ_CRIMINAL$30,063,317
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2011SEC$30,400,000
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2017private lawsuit-federal$30,446,022
Massachusetts Mutual Life Insurance Co.Massachusetts Mutual Life Insurancebenefit plan administrator violation2016private lawsuit-federal$30,900,000
American Express Financial AdvisorsAmeriprise Financialemployment discrimination2002private lawsuit-federal$31,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2010MULTI-AG$31,000,000
City National BankRoyal Bank of Canadadiscriminatory practices (non-employment)2023DOJ_RIGHTS$31,000,000
Deutsche Bank (Suisse) SADeutsche Banktax violations2015DOJ_TAX$31,026,000
Fidelity National Title Insurance CompanyFidelity National Financialconsumer protection violation2002CA-AG$31,148,320
Wells Fargo AdvisorsWells Fargoemployment discrimination2011private lawsuit-federal$32,000,000
Bank of America CorporationBank of Americaprivacy violation2014private lawsuit-federal$32,083,905
First National Bank of OmahaFirst National of Nebraskaconsumer protection violation2016CFPB$32,250,000
State Street CorporationState Street Corp.fraud2017DOJ_CRIMINAL$32,300,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2014FINRA$32,400,000
Evergreen Investment Management CompanyWells Fargoinvestor protection violation2007SEC$32,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003SEC$32,500,000
HSBC Bank USA, National AssociationHSBCbanking violation2017OCC$32,500,000
MetLife SecuritiesMetLifeemployment discrimination2017private lawsuit-federal$32,500,000
Wells Fargo & Co.Wells Fargobenefit plan administrator violation2022private lawsuit-federal$32,500,000
Prudential Financial Inc.Prudential Financialinvestor protection violation2019SEC$32,600,000
Hudson City Savings BankM&T Bankbanking violation2015CFPB$32,750,000
Woodforest National BankWoodforest National Bankbanking violation2010OCC$33,000,000
Royal Bank of Scotland PLCNatWest Group PLCeconomic sanction violation2013OFAC$33,000,000
Bank of America CorporationBank of Americainvestor protection violation2009SEC$33,000,000
Smith BarneyMorgan Stanleyemployment discrimination2008private lawsuit-federal$33,000,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesbenefit plan administrator violation2016private lawsuit-federal$33,000,000
INGVoya Financialinvestor protection violation2006MULTI-AG$33,000,000
MUFG Bank Ltd.U.S. Bancorpbanking violation2019NY-DFS$33,000,000
Unitrin Inc.Kemperinsurance violation2002MULTI-FIN$33,000,000
Navient Solutions, Inc.Navientbanking violation2014FDIC$33,300,000
Wells FargoWells Fargomortgage abuses2010CA-AG$33,868,615
Allstate Insurance Co.Allstateinsurance violation2005CA-INS$34,000,000
GE Capital Retail Bank and CareCreditSynchrony Financialconsumer protection violation2013CFPB$34,100,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2011OCC$34,500,000
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018SEC$34,500,000
Wells FargoWells Fargoconsumer protection violation2015CFPB$34,800,000
WEX Bank and Higher One, Inc.WEX Inc.banking violation2015FDIC$34,980,000
National City Bank and its successor PNC BankPNC Financial Servicesbanking violation2013CFPB$35,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2016OCC$35,000,000
Citibank, N.A.Citigroupbanking violation2015OCC$35,000,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2012OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2011OCC$35,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$35,000,000
OppenheimerFunds Inc.Invescoinvestor protection violation2012SEC$35,000,000
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2014CFTC$35,000,000
Wells Fargo BankWells Fargobanking violation2016OCC$35,000,000
H&R BlockH&R Blockwage and hour violation2012private lawsuit-federal$35,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennanbenefit plan administrator violation2010private lawsuit-federal$35,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2016NY-AG$35,000,000
UBS Financial Services, Inc. and UBS Securities LLCUBStoxic securities abuses2008MA-AG$35,000,000
Wells Fargo & CompanyWells Fargowage and hour violation2020private lawsuit-federal$35,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargoinvestor protection violation2020SEC$35,000,000
AIGAmerican International Groupinsurance violation2014NY-DFS$35,000,000
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020NY-DFS$35,000,000
Morgan StanleyMorgan Stanleyinvestor 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. $35,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$35,000,000
Discover Bank et al.Discover Financial Servicesconsumer protection violation2020CFPB$35,000,000
NatWest Markets PlcNatWest Group PLCfraud2021DOJ_CRIMINAL$35,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2022SEC$35,000,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2017SEC$35,300,000
Banca IMI Securities Corp.Intesa Sanpaoloinvestor protection violation2017SEC$35,300,000
Wells Fargo AdvisorsWells Fargoemployment discrimination2017private lawsuit-federal$35,500,000
Bank of AmericaBank of AmericaFalse Claims Act and related2001AK-AG$35,600,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$36,000,000
Northern Trust Investments, N.A.Northern Trustbenefit plan administrator violation2015private lawsuit-federal$36,000,000
Banc of America Securities LLCBank of Americaprice-fixing or anti-competitive practices2010SEC$36,096,442
Barclays Bank PLCBarclaystoxic securities abuses2013MA-AG$36,100,000
Goldman Sachs GroupGoldman Sachsbanking violation2016FED$36,300,000
EverbankTIAAbanking violation2013OCC$37,000,000
Wachovia CorporationWells Fargoinvestor protection violation2004SEC$37,000,000
Merrill LynchBank of Americawage and hour violation2006private lawsuit-federal$37,000,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2016NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,000,000
Monumental Life Insurance CompanyAegoninsurance violation2003MULTI-FIN$37,000,000
UniCredit S.p.A.UniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,316,322
Bank Hapoalim B.M,Bank Hapoalimtax violations2020FED$37,350,000
Flagstar BankNew York Community Bancorpconsumer protection violation2014CFPB$37,500,000
TD Bank, National AssociationToronto-Dominion Bankbanking violation2013OCC$37,500,000
Northern TrustNorthern Trustbenefit plan administrator violation2006private lawsuit-federal$37,500,000
Zurich American Insurance Company et al.Zurich InsuranceFalse Claims Act and related2010NY-AG$37,500,000
U.S. BankU.S. Bancorpbanking violation2022CFPB$37,500,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealinvestor protection violation2019SEC$37,980,000
The Bank of New YorkBank of New York Mellonanti-money-laundering deficiencies2005USAO$38,000,000
Washington Mutual BankJPMorgan Chasewage and hour violation2009private lawsuit-federal$38,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.