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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 CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
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$14,370,701,61843
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
CitigroupCitigroupdiscriminatory practices (non-employment)2001NY-DFS$1,000,000
MetLifeMetLifediscriminatory practices (non-employment)2002NY-DFS$160,000,000
Wells Fargo & Co.Wells Fargodiscriminatory practices (non-employment)2019private lawsuit-federal$10,000,000
Travelers Indemnity CompanyTravelersdiscriminatory practices (non-employment)2018private lawsuit-federal$450,000
Wells FargoWells Fargodiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
Wells Fargo Bank, N.A.Wells Fargodiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
Wells Fargo Bank N.A.Wells Fargodiscriminatory practices (non-employment)2011private lawsuit-state$3,520,000
J.P. Morgan ChaseJPMorgan Chasediscriminatory practices (non-employment)2010private lawsuit-federal$1,950,000
HSBC Finance Corporation et al.HSBCdiscriminatory practices (non-employment)2010private lawsuit-federal$6,050,000
John Hancock Life Insurance CompanyManulife Financialdiscriminatory practices (non-employment)2009private lawsuit-federal$24,400,000
Allstate CorporationAllstatediscriminatory practices (non-employment)2007private lawsuit-federal$11,720,000
Liberty National Life Insurance CompanyGlobe Life Inc.discriminatory practices (non-employment)2006private lawsuit-federal$9,350,000
Bank of America, NABank of Americadiscriminatory practices (non-employment)2005private lawsuit-federal$3,670,000
Bank One, KY, N.A.JPMorgan Chasediscriminatory practices (non-employment)2005private lawsuit-federal$6,715,000
U.S. BancorpU.S. Bancorpdiscriminatory practices (non-employment)2005private lawsuit-federal$2,495,000
WFS Financial, Inc.Wells Fargodiscriminatory practices (non-employment)2004private lawsuit-federal$4,550,000
General Motors Acceptance Corp.Ally Financialdiscriminatory practices (non-employment)2004private lawsuit-federal$9,600,000
Cincinnati Life Insurance CompanyCincinnati Financialdiscriminatory practices (non-employment)2004private lawsuit-state$1,900,000
Flagstar BankNew York Community Bancorpdiscriminatory practices (non-employment)2004private lawsuit-federal$1,100,000
American General Life InsuranceAmerican International Groupdiscriminatory practices (non-employment)2000private lawsuit-federal$214,000,000
JPMorgan Chase BankJPMorgan Chasediscriminatory practices (non-employment)2021HUD$50,000
Wells Fargo BankWells Fargodiscriminatory practices (non-employment)2021HUD$125,000
Cadence Bank N.A.Cadence Bankdiscriminatory practices (non-employment)2021DOJ_RIGHTS$5,545,000
Trustmark National BankTrustmarkdiscriminatory practices (non-employment)2021CFPB(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Bank of America, N.A.Bank of Americadiscriminatory practices (non-employment)2022HUD$15,000
Capital One BankCapital One Financialdiscriminatory practices (non-employment)2022DOJ_RIGHTS$49,728
City National BankRoyal Bank of Canadadiscriminatory practices (non-employment)2023DOJ_RIGHTS$31,000,000
Park National BankPark National Corp.discriminatory practices (non-employment)2023DOJ_RIGHTS$9,000,000
Citibank N.A.Citigroupdiscriminatory practices (non-employment)2023CFPB$25,900,000
AllianzAllianzdiscriminatory practices (non-employment)2024WA-AG$1,500,000
AllianzAllianzdiscriminatory practices (non-employment)2024WA-AG$1,500,000
First National Bank of PennsylvaniaF.N.B. Corporationdiscriminatory practices (non-employment)2024DOJ_RIGHTS$13,500,000
Credit Suisse Securities (USA) LLCUBSdata submission deficiencies2015SEC$4,250,000
JPMorgan ChaseJPMorgan Chasedata submission deficiencies2016CFTC$225,000
JPMorgan Chase BankJPMorgan Chasedata submission deficiencies2015CFTC$100,000,000
Deutsche Bank AGDeutsche Bankdata submission deficiencies2015CFTC$2,500,000
JPMorgan SecuritiesJPMorgan Chasedata submission deficiencies2014CFTC$650,000
Mizuho Securities USA Inc.Mizuho Financialdata submission deficiencies2013CFTC$175,000
Morgan Stanley Capital GroupMorgan Stanleydata submission deficiencies2010CFTC$14,000,000
UBS SecuritiesUBSdata submission deficiencies2010CFTC$200,000
Citigroup Global MarketsCitigroupdata submission deficiencies2016SEC$7,000,000
OZ Management LPSculptor Capital Managementdata submission deficiencies2015SEC$4,250,000
ScottradeCharles Schwab Corp.data submission deficiencies2014SEC$2,500,000
Citigroup Private Bank GP, Inc.Citigroupdata submission deficiencies2009CFTC$100,000
J.P. Morgan Futures, Inc.JPMorgan Chasedata submission deficiencies2009CFTC$300,000
UBS Fund Advisor, LLCUBSdata submission deficiencies2009CFTC$50,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasdata submission deficiencies2008CFTC$25,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americadata submission deficiencies2007CFTC$500,000
Cinergy Marketing & Trading, LPBNP Paribasdata submission deficiencies2004CFTC$3,000,000
A.G. Edwards & Sons, Inc.Wells Fargodata submission deficiencies2003CFTC$45,000
Prudential Securities, Inc.Wells Fargodata submission deficiencies2002CFTC$65,000
Williams Power Company Inc.JPMorgan Chasedata submission deficiencies2006DOJ_CRIMINAL$50,000,000
Morgan Stanley & Co.Morgan Stanleydata submission deficiencies2006SEC$10,000,000
Deutsche Bank Securities Inc.Deutsche Bankdata submission deficiencies2002SEC$1,650,000
Goldman, Sachs & Co.Goldman Sachsdata submission deficiencies2002SEC$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleydata submission deficiencies2002SEC$1,650,000
Salomon Smith Barney Inc.Morgan Stanleydata submission deficiencies2002SEC$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerdata submission deficiencies2002SEC$1,650,000
Barclays Bank PLCBarclaysdata submission deficiencies2016CFTC$500,000
Wells Fargo Bank, N.A.Wells Fargodata submission deficiencies2016CFTC$400,000
Societe GeneraleSociete Generaledata submission deficiencies2016CFTC$450,000
Morgan StanleyMorgan Stanleydata submission deficiencies2017CFTC$350,000
Citibank N.A.Citigroupdata submission deficiencies2017CFTC$550,000
Convergex Execution Solutions LLCToronto-Dominion Bankdata submission deficiencies2018SEC$2,750,000
Green Tree Servicing LLCDitech Holding Corporationconsumer protection violation2015FTC$63,000,000
Asset Acceptance LLCEncore Capital Groupconsumer protection violation2012FTC$2,500,000
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LPBank of Americaconsumer protection violation2010FTC$108,000,000
CitibankCitigroupconsumer protection violation2016CFPB$7,890,000
CitibankCitigroupconsumer protection violation2016CFPB$45,000,000
EZCORP Inc.EZCORP Inc.consumer protection violation2015CFPB$10,500,000
Fifth Third BankFifth Third Bancorpconsumer protection violation2015CFPB$21,500,000
Encore Capital GroupEncore Capital Groupconsumer protection violation2015CFPB$52,000,000
Springstone Financial, LLCLendingClub Corp.consumer protection violation2015CFPB$700,000
Citizens Bank, N.A.Citizens Financial Groupconsumer protection violation2015CFPB$18,500,000
Discover BankDiscover Financial Servicesconsumer protection violation2015CFPB$18,500,000
Citibank N.A.Citigroupconsumer protection violation2015CFPB$733,800,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CFPB$186,000,000
Affinion Group Holdings, Inc.JPMorgan Chaseconsumer protection violation2015CFPB$8,700,000
Provident Funding AssociatesProvident Funding Associatesconsumer protection violation2015CFPB$9,000,000
PayPal Inc.PayPal Holdingsconsumer protection violation2015CFPB$25,000,000
Regions BankRegions Financialconsumer protection violation2015CFPB$7,500,000
Wells FargoWells Fargoconsumer protection violation2015CFPB$34,800,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CFPB$900,000
M&T BankM&T Bankconsumer protection violation2014CFPB$3,100,000
Flagstar BankNew York Community Bancorpconsumer protection violation2014CFPB$37,500,000
U.S. BankU.S. Bancorpconsumer protection violation2014CFPB$53,000,000
Amerisave Mortgage Corporation and Novo Appraisal Management CompanyAmeriSave Mortgageconsumer protection violation2014CFPB$19,300,000
ACE Cash ExpressACE Cash Expressconsumer protection violation2014CFPB$15,000,000
GE Capital Retail Bank, now known as Synchrony BankSynchrony Financialconsumer protection violation2014CFPB$225,000,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2014CFPB$550,000,000
Bank of America, N.A.Bank of Americaconsumer protection violation2014CFPB$747,000,000
American ExpressAmerican Expressconsumer protection violation2013CFPB$69,100,000
Ally Financial Inc. and Ally BankAlly Financialconsumer protection violation2013CFPB$98,000,000
Ocwen Financial Corporation and Ocwen Loan ServicingOcwen Financialconsumer protection violation2013CFPB$2,125,000,000
GE Capital Retail Bank and CareCreditSynchrony Financialconsumer protection violation2013CFPB$34,100,000
Republic Mortgage Insurance CorporationOld Republic Internationalconsumer protection violation2013CFPB$100,000
Washington FederalWashington Federal Inc.consumer protection violation2013CFPB$34,000
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2013CFPB$329,000,000
American ExpressAmerican Expressconsumer protection violation2012CFPB$99,100,000
Discover BankDiscover Financial Servicesconsumer protection violation2012CFPB$214,000,000
Capital One Bank (U.S.A.), N.A.Capital One Financialconsumer protection violation2012CFPB$165,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.