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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $390,617,479,816
Number of Records: 7,879
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$87,294,669,499330
JPMorgan Chase$40,013,908,209280
UBS$31,275,299,125181
Wells Fargo$27,616,269,231266
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,854,391,249113
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,907,502,443205
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
Deutsche Bank Americas Holding Corp.Deutsche Bankbenefit plan administrator violation2019private lawsuit-federal$21,900,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2022private lawsuit-federal$21,864,673
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
Banco Popular de Puerto RicoPopular Inc.anti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
Fifth Third BankFifth Third Bancorpconsumer protection violation2015CFPB$21,500,000
QBE Holdings Inc.QBE Insuranceinsurance violation2017MULTI-FIN$21,164,000
SunTrust Mortgage Inc.Truist Financialbanking violation2012DOJ_RIGHTS$21,000,000
Merrill LynchBank of Americawage and hour violation2013private lawsuit-federal$21,000,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$21,000,000
Western Asset Management CompanyFranklin Resourcesbenefit plan administrator violation2014EBSA$21,000,000
Bank of America CorpBank of Americabenefit plan administrator violation2011private lawsuit-federal$21,000,000
NatWest Markets PLCNatWest Group PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$21,000,000
BNP Paribas Securities Corp.BNP Paribasprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Cantor Fitzgerald & Co.Cantor Fitzgeraldprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Citigroup Global Markets Inc.Citigroupprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Credit Suisse Securities (USA) LLCUBSprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
HSBC Securities (USA) Inc.HSBCprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
J.P. Morgan Securities LLCJPMorgan Chaseprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americaprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Nomura Securities International Inc.Nomuraprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
SG Americas Securities LLCSociete Generaleprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
TD Securities (USA) LLCToronto-Dominion Bankprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
UBS Securities LLCUBSprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Wells Fargo & CompanyWells Fargoprice-fixing or anti-competitive practices2022private lawsuit-federal$20,820,000
IFCO SystemsTriton Investments Adviserswork visa violations2008USAO$20,700,000
U.S. BankU.S. Bancorpconsumer protection violation2023CFPB$20,700,000
CitigroupCitigrouptoxic securities abuses2011NCUA$20,500,000
Jackson National Life Insurance CompanyJackson Financialemployment discrimination2020EEOC$20,500,000
Capital One N.A.Capital One Financialconsumer protection violation2014private lawsuit-federal$20,350,000
UniCredit Bank Austria AGUniCrediteconomic 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. $20,326,340
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
Wells Fargo & Co.Wells Fargoinvestor protection violation2020MD-AG$20,000,000
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2014private lawsuit-federal$20,000,000
Goldman SachsGoldman Sachsprice-fixing or anti-competitive practices2020private lawsuit-federal$20,000,000
Robinhood Financial LLCRobinhood Marketsprivacy violation2023private lawsuit-federal$20,000,000
Bank of AmericaBank of Americaconsumer protection violation2013private lawsuit-federal$20,000,000
OneMain FinancialOneMain Holdingsconsumer protection violation2023CFPB$20,000,000
Interactive Brokers Corp. and Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2023CFTC$20,000,000
Fifth Third BankFifth Third Bancorpconsumer protection violation2024CFPB$20,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2020private lawsuit-federal$19,975,000
John Hancock Investment Management Services, LLCManulife Financialinvestor protection violation2007SEC$19,787,879
Ally Financial Inc.Ally Financialconsumer protection violation2018private lawsuit-federal$19,717,222
Bank of America N.A.Bank of Americaconsumer protection violation2013private lawsuit-federal$19,610,000
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
Chase Bank USA et al.JPMorgan Chaseprice-fixing or anti-competitive practices2022private lawsuit-federal$19,500,000
Western Asset Management CompanyFranklin Resourcesinvestor protection violation2014SEC$19,400,000
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankinvestor protection violation2006SEC$19,329,729
Amerisave Mortgage Corporation and Novo Appraisal Management CompanyAmeriSave Mortgageconsumer protection violation2014CFPB$19,300,000
Nationwide Mutual Insurance CompanyNationwideFair Credit Reporting Act violation2006private lawsuit-federal$19,250,000
Progressive Direct Insurance CompanyProgressiveconsumer protection violation2022private lawsuit-federal$19,228,696
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
New York Life Insurance CompanyNew York Life Insurancebenefit plan administrator violation2024private lawsuit-federal$19,000,000
Chatham Asset Management LLCChatham Asset Managementinvestor protection violation2023SEC$18,800,000
Wells Fargo & Co.Wells Fargoemployment discrimination2021private lawsuit-federal$18,700,000
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
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2020private lawsuit-federal$18,500,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceconsumer protection violation2019private lawsuit-federal$18,500,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2020private lawsuit-federal$18,500,000
Citigroup Global MarketsCitigroupinvestor protection violation2017SEC$18,300,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2014private lawsuit-federal$18,300,000
Commerce Bank NACommerce Bancsharesconsumer protection violation2013private lawsuit-federal$18,300,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2020SEC$18,252,341
Allstate Life Insurance Company of New YorkAllstateinsurance violation2007NY-DFS$18,250,000
Mellon Bank N.A.Bank of New York MellonFalse Claims Act and related2006USAO$18,130,405
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2015CFTC$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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.