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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
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.

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CompanyCurrent ParentPrimary Offense Type sort iconYearAgencyPenalty Amount
LAVA TRADING INC.Citigroupbenefit plan administrator violation2006EBSA$50,001
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLANAmerican International Groupbenefit plan administrator violation2005EBSA$50,001
Wachovia National Bank, N.A.Wells Fargobenefit plan administrator violation2000EBSA$30,000,000
Harris N.A.Bank of Montrealbenefit plan administrator violation2007EBSA$274,600
Bank of HawaiiBank of Hawaiibenefit plan administrator violation2009EBSA$2,500,000
Independent BankIndependent Bank Corp. (Michigan)benefit plan administrator violation2011EBSA$95,700
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americabenefit plan administrator violation2011EBSA$170,854
Morgan Keegan and Co. Inc.Raymond James Financialbenefit plan administrator violation2012EBSA$633,715
ING Life Insurance and Annuity Co.Voya Financialbenefit plan administrator violation2013EBSA$5,200,000
Western Asset Management CompanyFranklin Resourcesbenefit plan administrator violation2014EBSA$21,000,000
Bank of New York MellonBank of New York Mellonbenefit plan administrator violation2015EBSA$84,000,000
Invesco Trust CompanyInvescobenefit plan administrator violation2016EBSA$10,270,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2018EBSA$10,001
FleetBoston Financial CorpBank of Americabenefit plan administrator violation2008private lawsuit-federal$83,401,000
J.P. Morgan Chase Retirement PlanJPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$604,957
SunTrust Banks, Inc.Truist Financialbenefit plan administrator violation2018private lawsuit-federal$4,750,000
Washington Mutual Inc.JPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$49,000,000
Washington Mutual Pension PlanJPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$20,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennanbenefit plan administrator violation2010private lawsuit-federal$35,000,000
Bank of America CorpBank of Americabenefit plan administrator violation2011private lawsuit-federal$21,000,000
U.S. Bank Pension PlanU.S. Bancorpbenefit plan administrator violation2012private lawsuit-federal$9,600,000
First Horizon National CorporationFirst Horizon Nationalbenefit plan administrator violation2012private lawsuit-federal$6,000,000
Regions Financial Corp.Regions Financialbenefit plan administrator violation2014private lawsuit-federal$22,500,000
United Community Banks, Inc.United Community Banks Inc.benefit plan administrator violation2013private lawsuit-federal$3,500,000
Flagstar Bancorp, Inc.Flagstar Bancorpbenefit plan administrator violation2013private lawsuit-federal$3,000,000
ING Life Insurance & Annuity Co.Voya Financialbenefit plan administrator violation2014private lawsuit-federal$14,950,000
Nationwide Life InsuranceNationwidebenefit plan administrator violation2015private lawsuit-federal$140,000,000
State Street CorporationState Street Corp.benefit plan administrator violation2014private lawsuit-federal$10,000,000
Prudential InsurancePrudential Financialbenefit plan administrator violation2014private lawsuit-federal$39,100,000
TIAA-CREFTIAAbenefit plan administrator violation2014private lawsuit-federal$22,800,000
American International Group, Inc.American International Groupbenefit plan administrator violation2015private lawsuit-federal$40,000,000
Northern Trust Investments, N.A.Northern Trustbenefit plan administrator violation2015private lawsuit-federal$36,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americabenefit plan administrator violation2017private lawsuit-federal$25,000,000
Liberty Mutual Retirement Benefit PlanLiberty Mutual Insurancebenefit plan administrator violation2018private lawsuit-federal$30,000,000
Deutsche Bank Americas Holding Corp.Deutsche Bankbenefit plan administrator violation2019private lawsuit-federal$21,900,000
Merrill LynchBank of Americabenefit plan administrator violation2012private lawsuit-federal$10,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasebenefit plan administrator violation2012private lawsuit-federal$150,000,000
Bear Stearns Companies, Inc.JPMorgan Chasebenefit plan administrator violation2012private lawsuit-federal$10,000,000
Fannie MaeFannie Maebenefit plan administrator violation2010private lawsuit-federal$7,250,000
Merrill Lynch & Co., Inc.Bank of Americabenefit plan administrator violation2009private lawsuit-federal$75,000,000
Countrywide Financial CorporationBank of Americabenefit plan administrator violation2009private lawsuit-federal$55,000,000
Wells Fargo Bank N.A.Wells Fargobenefit plan administrator violation2014private lawsuit-federal$62,500,000
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2011private lawsuit-federal$17,500,000
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2015private lawsuit-federal$7,420,000
Wachovia CorporationWells Fargobenefit plan administrator violation2011private lawsuit-federal$12,350,000
Wachovia SecuritiesWells Fargobenefit plan administrator violation2009private lawsuit-federal$1,005,000
Citigroup, Inc.Citigroupbenefit plan administrator violation2019private lawsuit-federal$6,900,000
Citigroup Inc.Citigroupbenefit plan administrator violation2014private lawsuit-federal$8,500,000
Metropolitan LifeMetLifebenefit plan administrator violation2012private lawsuit-federal$350,000
American International Group, Inc.American International Groupbenefit plan administrator violation2008private lawsuit-federal$24,200,000
New York Life InsuranceNew York Life Insurancebenefit plan administrator violation2008private lawsuit-federal$14,000,000
New York Life Insurance CompanyNew York Life Insurancebenefit plan administrator violation2017private lawsuit-federal$3,000,000
Teachers Insurance and Annuity Insurance Association of AmericaTIAAbenefit plan administrator violation2017private lawsuit-federal$5,000,000
Massachusetts Mutual Life Insurance Co.Massachusetts Mutual Life Insurancebenefit plan administrator violation2016private lawsuit-federal$30,900,000
Massachusetts Mutual Life Insurance Co.Massachusetts Mutual Life Insurancebenefit plan administrator violation2015private lawsuit-federal$9,475,000
St Paul Travelers Companies Inc.Travelersbenefit plan administrator violation2007private lawsuit-federal$4,450,000
Hartford Financial Services Group Inc.Hartford Financial Servicesbenefit plan administrator violation2012private lawsuit-federal$1,935,000
Hartford Life Insurance CompanyHartford Financial Servicesbenefit plan administrator violation2010private lawsuit-federal$13,775,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2015private lawsuit-federal$335,000,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2009private lawsuit-federal$2,200,000
Principal Life Insurance CompanyPrincipal Financialbenefit plan administrator violation2015private lawsuit-federal$3,000,000
Ameriprise Financial, Inc.Ameriprise Financialbenefit plan administrator violation2015private lawsuit-federal$27,500,000
State Street Bank And Trust Co.State Street Corp.benefit plan administrator violation2010private lawsuit-federal$89,750,000
State Street CorporationState Street Corp.benefit plan administrator violation2016private lawsuit-federal$60,000,000
UNUM Life Insurance Company of AmericaUnumbenefit plan administrator violation2010private lawsuit-federal$5,000,000
Fifth Third BancorpFifth Third Bancorpbenefit plan administrator violation2016private lawsuit-federal$6,000,000
Wilmington Trust Corp.M&T Bankbenefit plan administrator violation2014private lawsuit-federal$3,000,000
Northern TrustNorthern Trustbenefit plan administrator violation2006private lawsuit-federal$37,500,000
AXA Equitable Life Insurance CompanyEquitable Holdingsbenefit plan administrator violation2011private lawsuit-federal$2,500,000
Allianz Asset Management of America, L.P.Allianzbenefit plan administrator violation2018private lawsuit-federal$12,000,000
HSBC Bank USAHSBCbenefit plan administrator violation2005private lawsuit-federal$9,350,000
Farmers Group, Inc.Zurich Insurancebenefit plan administrator violation2012private lawsuit-federal$6,850,000
UBS Global Asset ManagementUBSbenefit plan administrator violation2006private lawsuit-federal$5,493,000
Aon CorporationAonbenefit plan administrator violation2010private lawsuit-federal$1,800,000
Popular, Inc.Popular Inc.benefit plan administrator violation2012private lawsuit-federal$8,200,000
Comerica IncorporatedComericabenefit plan administrator violation2013private lawsuit-federal$11,000,000
Comerica IncorporatedComericabenefit plan administrator violation2007private lawsuit-federal$2,020,000
FMR LLCFidelity Investmentsbenefit plan administrator violation2014private lawsuit-federal$12,000,000
Household InternationalHSBCbenefit plan administrator violation2004private lawsuit-federal$46,500,000
Huntington Bancshares Inc.Huntington Bancsharesbenefit plan administrator violation2011private lawsuit-federal$1,450,000
ING Groep N.V.Voya Financialbenefit plan administrator violation2013private lawsuit-federal$3,500,000
LaSalle BankBank of Americabenefit plan administrator violation2011private lawsuit-federal$13,500,000
MBNA Corp.Bank of Americabenefit plan administrator violation2009private lawsuit-federal$4,500,000
Moneygram International, Inc.MoneyGram Internationalbenefit plan administrator violation2011private lawsuit-federal$4,500,000
National City Corp.PNC Financial Servicesbenefit plan administrator violation2010private lawsuit-federal$43,000,000
Providian Financial Corp.JPMorgan Chasebenefit plan administrator violation2003private lawsuit-federal$8,600,000
Sterling Financial CorporationUmpqua Holdingsbenefit plan administrator violation2013private lawsuit-federal$3,025,000
Transamerica CorporationAegonbenefit plan administrator violation2016private lawsuit-federal$3,800,000
Ambac Financial Group, Inc.Ambac Financialbenefit plan administrator violation2012private lawsuit-federal$2,550,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2019EBSA$10,001
BB&T CorporationTruist Financialbenefit plan administrator violation2019private lawsuit-federal$24,000,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesbenefit plan administrator violation2016private lawsuit-federal$33,000,000
Old Second Bancorp, Inc.Old Second Bancorpbenefit plan administrator violation2013private lawsuit-federal$7,500,000
Prudential Insurance Company Of AmericaPrudential Financialbenefit plan administrator violation2019private lawsuit-federal$9,000,000
Wilmington Trust N.A.M&T Bankbenefit plan administrator violation2017private lawsuit-federal$29,773,250
Edward D. Jones & Co., L.P.Jones Financialbenefit plan administrator violation2019private lawsuit-federal$3,175,000
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2020EBSA$88,000,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2020private lawsuit-federal$79,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.