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Violation Tracker Industry Summary Page
Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Companies | Total Penalty $ | Number of Records |
| Bank of America | $87,286,650,890 | 328 |
| JPMorgan Chase | $39,340,688,209 | 275 |
| UBS | $31,069,299,125 | 179 |
| Wells Fargo | $27,616,269,231 | 266 |
| Citigroup | $26,945,611,792 | 181 |
| Deutsche Bank | $20,011,467,563 | 99 |
| Goldman Sachs | $17,729,358,987 | 111 |
| NatWest Group PLC | $14,370,701,618 | 43 |
| Morgan Stanley | $10,780,502,443 | 203 |
| BNP Paribas | $10,363,464,666 | 23 |
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.
| Company | Current Parent | Primary Offense Type  | Year | Agency | Penalty Amount |
| KeyBank | KeyCorp | wage and hour violation | 2013 | private lawsuit-federal | $4,900,000 |
| Merrill Lynch | Bank of America | wage and hour violation | 2013 | private lawsuit-federal | $21,000,000 |
| First Niagara Financial Group | KeyCorp | wage and hour violation | 2013 | private lawsuit-federal | $404,000 |
| MetLife | MetLife | wage and hour violation | 2013 | private lawsuit-federal | $3,003,000 |
| Capital One | Capital One Financial | wage and hour violation | 2012 | private lawsuit-federal | $3,200,000 |
| Union Bank | U.S. Bancorp | wage and hour violation | 2012 | private lawsuit-federal | $3,500,000 |
| H&R Block | H&R Block | wage and hour violation | 2012 | private lawsuit-state | $7,500,000 |
| KeyCorp | KeyCorp | wage and hour violation | 2012 | private lawsuit-federal | $6,250,000 |
| H&R Block | H&R Block | wage and hour violation | 2012 | private lawsuit-federal | $35,000,000 |
| Wells Fargo Bank | Wells Fargo | wage and hour violation | 2012 | private lawsuit-federal | $280,000 |
| E-Trade | Morgan Stanley | wage and hour violation | 2012 | private lawsuit-federal | $1,500,000 |
| Freedom Mortgage | Freedom Mortgage | wage and hour violation | 2012 | private lawsuit-federal | $1,600,000 |
| UBS | UBS | wage and hour violation | 2012 | private lawsuit-federal | $1,400,000 |
| SunTrust Mortgage | Truist Financial | wage and hour violation | 2012 | private lawsuit-federal | $2,400,000 |
| JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2012 | private lawsuit-federal | $1,195,000 |
| JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2012 | private lawsuit-federal | $9,000,000 |
| Associated Banc-Corp | Associated Banc-Corp | wage and hour violation | 2012 | private lawsuit-federal | $1,275,000 |
| Prudential Insurance | Prudential Financial | wage and hour violation | 2011 | private lawsuit-federal | $1,016,500 |
| Washington Mutual Bank | JPMorgan Chase | wage and hour violation | 2011 | private lawsuit-federal | $463,000 |
| Hartford Fire Insurance | Hartford Financial Services | wage and hour violation | 2011 | private lawsuit-federal | $1,200,000 |
| Ameriprise Financial | Ameriprise Financial | wage and hour violation | 2011 | private lawsuit-federal | $185,000 |
| MetLife | MetLife | wage and hour violation | 2011 | private lawsuit-federal | $2,000,000 |
| American General Finance Management Corporation | OneMain Holdings | wage and hour violation | 2011 | private lawsuit-federal | $1,700,000 |
| Oppenheimer & Co. | Oppenheimer Holdings | wage and hour violation | 2011 | private lawsuit-federal | $2,375,901 |
| Wells Fargo | Wells Fargo | wage and hour violation | 2011 | private lawsuit-federal | $6,660,000 |
| JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2011 | private lawsuit-federal | $42,000,000 |
| Aon | Aon | wage and hour violation | 2011 | private lawsuit-state | $10,500,000 |
| Wells Fargo Bank | Wells Fargo | wage and hour violation | 2011 | private lawsuit-federal | $100,000 |
| MetLife | MetLife | wage and hour violation | 2011 | private lawsuit-federal | $2,350,000 |
| Arthur J. Gallagher | Arthur J. Gallagher & Co. | wage and hour violation | 2011 | private lawsuit-federal | $3,900,000 |
| Wells Fargo | Wells Fargo | wage and hour violation | 2011 | private lawsuit-federal | $6,720,000 |
| Wells Fargo | Wells Fargo | wage and hour violation | 2011 | private lawsuit-federal | $6,900,000 |
| Citigroup Global Markets | Citigroup | wage and hour violation | 2011 | private lawsuit-federal | $394,220 |
| Combined Insurance Company of America | Chubb Limited | wage and hour violation | 2010 | private lawsuit-federal | $6,000,000 |
| Wachovia Financial Services | Wells Fargo | wage and hour violation | 2010 | private lawsuit-federal | $450,000 |
| Bear Stearns | JPMorgan Chase | wage and hour violation | 2010 | private lawsuit-federal | $675,000 |
| Bank of America | Bank of America | wage and hour violation | 2010 | private lawsuit-state | $16,650,000 |
| Farmers Insurance Exchange | Farmers Insurance Exchange | wage and hour violation | 2010 | private lawsuit-federal | $8,000,000 |
| Wells Fargo | Wells Fargo | wage and hour violation | 2010 | private lawsuit-federal | $20,000,000 |
| JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2010 | private lawsuit-federal | $2,492,729 |
| H&R Block | H&R Block | wage and hour violation | 2010 | private lawsuit-federal | $1,400,000 |
| Merrill Lynch | Bank of America | wage and hour violation | 2010 | private lawsuit-federal | $43,500,000 |
| TD Bank | Toronto-Dominion Bank | wage and hour violation | 2010 | private lawsuit-federal | $375,000 |
| Bank of America | Bank of America | wage and hour violation | 2010 | private lawsuit-federal | $661,392 |
| Washington Mutual Bank | JPMorgan Chase | wage and hour violation | 2009 | private lawsuit-federal | $38,000,000 |
| Wachovia Securities | Wells Fargo | wage and hour violation | 2009 | private lawsuit-federal | $39,000,000 |
| Prudential Financial | Prudential Financial | wage and hour violation | 2009 | private lawsuit-federal | $11,000,000 |
| TD Ameritrade | Charles Schwab Corp. | wage and hour violation | 2009 | private lawsuit-federal | $2,500,000 |
| AXA Financial | Equitable Holdings | wage and hour violation | 2009 | private lawsuit-federal | $6,500,000 |
| A.G. Edwards | Wells Fargo | wage and hour violation | 2009 | private lawsuit-federal | $12,000,000 |
| MetLife | MetLife | wage and hour violation | 2009 | private lawsuit-federal | $7,400,000 |
| Janney Montgomery Scott | Penn Mutual | wage and hour violation | 2009 | private lawsuit-federal | $2,880,000 |
| Morgan Stanley | Morgan Stanley | wage and hour violation | 2009 | private lawsuit-federal | $50,000,000 |
| HSBC Auto Finance | HSBC | wage and hour violation | 2009 | private lawsuit-federal | $420,000 |
| Banco Popular | Popular Inc. | wage and hour violation | 2009 | private lawsuit-federal | $1,050,000 |
| Champion Mortgage and KeyBank | KeyCorp | wage and hour violation | 2009 | private lawsuit-federal | $1,200,000 |
| Home Loan Center Inc. | LendingTree | wage and hour violation | 2009 | private lawsuit-federal | $2,500,000 |
| Hewitt Associates | Aon | wage and hour violation | 2009 | private lawsuit-federal | $4,900,000 |
| National City Mortgage | PNC Financial Services | wage and hour violation | 2008 | private lawsuit-federal | $27,500,000 |
| Edward D. Jones & Co. | Jones Financial | wage and hour violation | 2008 | private lawsuit-federal | $21,000,000 |
| UBS as successor to Piper Jaffray | UBS | wage and hour violation | 2008 | private lawsuit-federal | $5,500,000 |
| E-Trade | Morgan Stanley | wage and hour violation | 2008 | private lawsuit-federal | $900,000 |
| Citigroup | Citigroup | wage and hour violation | 2008 | private lawsuit-federal | $98,000,000 |
| Edward D. Jones & Co. | Jones Financial | wage and hour violation | 2008 | private lawsuit-federal | $19,000,000 |
| USAA | USAA | wage and hour violation | 2008 | private lawsuit-federal | $738,423 |
| A.G. Edwards | Wells Fargo | wage and hour violation | 2007 | private lawsuit-federal | $20,000,000 |
| E-Loan Inc. | Popular Inc. | wage and hour violation | 2007 | private lawsuit-federal | $13,600,000 |
| UBS | UBS | wage and hour violation | 2007 | private lawsuit-federal | $44,000,000 |
| Bank of America | Bank of America | wage and hour violation | 2007 | private lawsuit-state | $2,500,000 |
| UBS | UBS | wage and hour violation | 2007 | private lawsuit-federal | $45,000,000 |
| Wells Fargo | Wells Fargo | wage and hour violation | 2007 | private lawsuit-federal | $12,800,000 |
| Citigroup | Citigroup | wage and hour violation | 2006 | private lawsuit-federal | $3,550,000 |
| Morgan Stanley | Morgan Stanley | wage and hour violation | 2006 | private lawsuit-federal | $42,500,000 |
| Bank of America | Bank of America | wage and hour violation | 2006 | private lawsuit-federal | $9,000,000 |
| Merrill Lynch | Bank of America | wage and hour violation | 2006 | private lawsuit-federal | $37,000,000 |
| Liberty Mutual | Liberty Mutual Insurance | wage and hour violation | 2005 | private lawsuit-federal | $6,400,000 |
| Allstate Insurance | Allstate | wage and hour violation | 2005 | private lawsuit-state | $120,000,000 |
| Countrywide Financial | Bank of America | wage and hour violation | 2005 | private lawsuit-state | $30,000,000 |
| State Farm | State Farm Insurance | wage and hour violation | 2005 | private lawsuit-state | $135,000,000 |
| Progressive | Progressive | wage and hour violation | 2004 | private lawsuit-federal | $5,400,000 |
| Bank of America | Bank of America | wage and hour violation | 2003 | private lawsuit-state | $4,100,000 |
| Ditech | Ditech Holding Corporation | wage and hour violation | 2002 | private lawsuit-federal | $6,150,000 |
| Coast National Insurance | Zurich Insurance | wage and hour violation | 2002 | private lawsuit-state | $18,000,000 |
| Bank of America | Bank of America | wage and hour violation | 2001 | private lawsuit-state | $22,000,000 |
| Farmers Insurance Exchange | Farmers Insurance Exchange | wage and hour violation | 2001 | private lawsuit-state | $90,009,208 |
| UBS Financial Services Inc. | UBS | wage and hour violation | 2018 | WHD | $6,246 |
| Wilmington Finance Inc. | OneMain Holdings | wage and hour violation | 2008 | private lawsuit-federal | $2,925,000 |
| Wells Fargo Advisors, LLC | Wells Fargo | wage and hour violation | 2018 | private lawsuit-federal | $9,500,000 |
| M&T Bank Corporation | M&T Bank | wage and hour violation | 2018 | private lawsuit-federal | $2,490,000 |
| Allstate Insurance Company | Allstate | wage and hour violation | 2018 | private lawsuit-state | $5,500,000 |
| QBE Americas, Inc. | QBE Insurance | wage and hour violation | 2018 | private lawsuit-federal | $1,200,000 |
| Ally Financial Services | Ally Financial | wage and hour violation | 2019 | WHD | $198,311 |
| Allstate Company, Inc. | Allstate | wage and hour violation | 2007 | MA-AG | $125,000 |
| American International Group | American International Group | wage and hour violation | 2009 | MA-AG | $900,000 |
| Freedom Mortgage Corporation | Freedom Mortgage | wage and hour violation | 2019 | private lawsuit-federal | $4,480,000 |
| JP Morgan Chase Bank N.A. | JPMorgan Chase | wage and hour violation | 2019 | WHD | $38,336 |
| Lincoln Financial Group Trust Company, Inc. | Lincoln National | wage and hour violation | 2018 | WHD | $17,567 |
| World Acceptance Corporation | World Acceptance Corporation | wage and hour violation | 2019 | WHD | $5,549 |
| World Acceptance Corporation, Inc | World Acceptance Corporation | wage and hour violation | 2019 | WHD | $6,582 |
| Great American Financial Resources, Inc. | American Financial Group | wage and hour violation | 2019 | private lawsuit-federal | $1,250,000 |
| Fidelity Investments | Fidelity Investments | wage and hour violation | 2019 | private lawsuit-federal | $1,200,000 |
