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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
JPMorgan Chase$39,688,888,209277
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,780,502,443203
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 Type sort iconYearAgencyPenalty Amount
East Penn Railroad LLC3i Infrastructure PLCrailroad safety violation2017FRA$5,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$7,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$6,250
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$10,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$5,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2018FRA$6,000
Noble Americas CorporationVitolrailroad safety violation2017FRA$6,500
Buckeye Terminals LLC-MacungieIFM Investorsrailroad safety violation2019FRA$5,000
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,000
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,853
Buckeye Terminals LLC-MacungieIFM Investorsrailroad safety violation2019FRA$5,000
Allstate Insurance Co.Allstateprivacy violation2003PA-AG$10,000
Bank of AmericaBank of Americaprivacy violation2009CT-AG$350,000
Bank of America Corp.Bank of Americaprivacy violation2010MO-AG$195,000
Bankers Life and CasualtyCNO Financialprivacy violation2008MO-AG$25,000
Bankers Life and Casualty Co.CNO Financialprivacy violation2003KS-AG$15,000
Bankers Life and Casualty CompanyCNO Financialprivacy violation2002KY-AG$5,000
Citibank N.A.Citigroupprivacy violation2013CT-AG$55,000
Discover Financial Services, Inc./Millenium Teleservices, Inc.Discover Financial Servicesprivacy violation2002KY-AG$5,000
EZCORP, Inc.EZCORP Inc.privacy violation2008TX-AG$600,000
FleetBoston Financial CorporationBank of Americaprivacy violation2001NY-AG$100,000
H&R Block Financial AdvisorsH&R Blockprivacy violation2001MO-AG$15,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesprivacy violation2017NJ-AG$1,100,000
Metropolitan Life Insurance Co.MetLifeprivacy violation2012CT-AG$10,000
Nationwide Mutual Insurance CompanyNationwideprivacy violation2017MULTI-AG$5,500,000
PayPal Inc.PayPal Holdingsprivacy violation2016TX-AG$175,000
PNC BankPNC Financial Servicesprivacy violation2002KY-AG$5,000
TD BankToronto-Dominion Bankprivacy violation2014MA-AG$625,000
TD Bank, N.A.Toronto-Dominion Bankprivacy violation2014MULTI-AG$850,000
US BankU.S. Bancorpprivacy violation2000MULTI-AG$2,000,000
Wells Fargo BankWells Fargoprivacy violation2016CA-AG$8,500,000
Merrill LynchBank of Americaprivacy violation2014NH-BSR$400,000
American General Financial Services Inc.OneMain Holdingsprivacy violation2010OR-FIN$75,000
Ocwen Loan Servicing LLCOcwen Financialprivacy violation2015VT-FIN$155,000
AmeriSave Mortgage CorporationAmeriSave Mortgageprivacy violation2020private lawsuit-federal$6,250,000
U.S. BankU.S. Bancorpprivacy violation2019private lawsuit-federal$2,670,336
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2017private lawsuit-federal$30,446,022
Capital OneCapital One Financialprivacy violation2015private lawsuit-federal$73,000,000
Bank of America CorporationBank of Americaprivacy violation2014private lawsuit-federal$32,083,905
Countrywide Financial Corp.Bank of Americaprivacy violation2010private lawsuit-federal$6,500,000
First Unum Life Insurance Company of America and Paul Revere Life Insurance CompanyUnumprivacy violation2021NY-DFS$1,800,000
First American Financial CorporationFirst American Financialprivacy violation2021SEC$487,616
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2021private lawsuit-federal$28,000,000
Kemper Corp.Kemperprivacy violation2022private lawsuit-federal$17,100,000
Ocwen Loan Servicing, LLCOcwen Financialprivacy violation2022private lawsuit-federal$1,500,000
Fifth Third BankFifth Third Bancorpprivacy violation2022private lawsuit-federal$50,000,000
Capital One BankCapital One Financialprivacy violation2022private lawsuit-federal$95,000,000
Allstate InsuranceAllstateprivacy violation2022private lawsuit-federal$4,500,000
Robinhood Financial LLCRobinhood Marketsprivacy violation2023private lawsuit-federal$20,000,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americaprivacy violation2023NH-BSR$700,000
OneMain Financial Group LLCOneMain Holdingsprivacy violation2023NY-DFS$4,250,000
Morgan Stanley Smith Barney LLCMorgan Stanleyprivacy violation2023MULTI-AG$6,500,000
First American Title Insurance CompanyFirst American Financialprivacy violation2023NY-DFS$1,000,000
LendingTree LLCLendingTreeprivacy violation2024private lawsuit-federal$875,000
RBS PLC and RBS Securities JapanNatWest Group PLCprice-fixing or anti-competitive practices2014DOJ_ANTITRUST$150,000,000
UBS Securities Japan Co. Ltd.UBSprice-fixing or anti-competitive practices2012DOJ_ANTITRUST$500,000,000
Wachovia Bank N.A.Wells Fargoprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$148,000,000
Morgan StanleyMorgan Stanleyprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$4,800,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$228,000,000
UBS AGUBSprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010DOJ_ANTITRUST$137,300,000
BARCLAYS BANK PLCBarclaysprice-fixing or anti-competitive practices2015FED$342,000,000
CiticorpCitigroupprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$925,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$550,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$710,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$395,000,000
UBS AGUBSprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$203,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$775,000,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2014DOJ_CRIMINAL$86,000,000
RabobankRabobankprice-fixing or anti-competitive practices2013DOJ_CRIMINAL$325,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2012DOJ_CRIMINAL$160,000,000
CitigroupCitigroupprice-fixing or anti-competitive practices2016CFTC$175,000,000
CitibankCitigroupprice-fixing or anti-competitive practices2016CFTC$250,000,000
BarclaysBarclaysprice-fixing or anti-competitive practices2015CFTC$400,000,000
BarclaysBarclaysprice-fixing or anti-competitive practices2015CFTC$115,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2015CFTC$800,000,000
CitibankCitigroupprice-fixing or anti-competitive practices2014CFTC$310,000,000
HSBC BankHSBCprice-fixing or anti-competitive practices2014CFTC$275,000,000
JPMorgan Chase BankJPMorgan Chaseprice-fixing or anti-competitive practices2014CFTC$310,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2014CFTC$290,000,000
UBS AGUBSprice-fixing or anti-competitive practices2014CFTC$290,000,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2014CFTC$105,000,000
RabobankRabobankprice-fixing or anti-competitive practices2013CFTC$475,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2013CFTC$325,000,000
UBS AGUBSprice-fixing or anti-competitive practices2012CFTC$700,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2012CFTC$200,000,000
Deutsche Bank Energy Trading LLDeutsche Bankprice-fixing or anti-competitive practices2013FERC$1,670,000
JP Morgan Ventures Energy CorporationJPMorgan Chaseprice-fixing or anti-competitive practices2013FERC$410,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2017FERC$105,000,000
Goldman SachsGoldman Sachsprice-fixing or anti-competitive practices2016CFTC$120,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2017CFTC$85,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2017FED$156,600,000
DB Group Services (UK) LimitedDeutsche Bankprice-fixing or anti-competitive practices2017DOJ_ANTITRUST$150,000,000
BNP Paribas S.A.BNP Paribasprice-fixing or anti-competitive practices2017FED$246,000,000
Deutsche Bank Securities Inc.Deutsche Bankprice-fixing or anti-competitive practices2018CFTC$70,000,000
BNP Paribas USA Inc.BNP Paribasprice-fixing or anti-competitive practices2018DOJ_ANTITRUST$90,000,000
Banc of America Securities LLCBank of Americaprice-fixing or anti-competitive practices2010SEC$36,096,442
BNP Paribas Securities Corp.BNP Paribasprice-fixing or anti-competitive practices2018CFTC$90,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseprice-fixing or anti-competitive practices2018CFTC$65,000,000
Societe Generale S.A.Societe Generaleprice-fixing or anti-competitive practices2018CFTC$475,000,000
Bank of America, N.A.Bank of Americaprice-fixing or anti-competitive practices2018CFTC$30,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.