Violation Tracker

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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.

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Company	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
US Bank N.A.	U.S. Bancorp	consumer protection violation	2014	private lawsuit-federal	$55,000,000
UBS Securities LLC	UBS	consumer protection violation	2015	private lawsuit-federal	$78,333,333
Unum Life Insurance Company of America	Unum	consumer protection violation	2016	private lawsuit-federal	$45,998,014
United Services Automobile Association	USAA	consumer protection violation	2017	private lawsuit-federal	$53,200,000
Wells Fargo & Co.	Wells Fargo	consumer protection violation	2019	private lawsuit-federal	$13,460,000
Wells Fargo & Co.	Wells Fargo	consumer protection violation	2019	private lawsuit-federal	$55,000,000
Wells Fargo & Co.	Wells Fargo	consumer protection violation	2018	private lawsuit-federal	$142,000,000
Wells Fargo & Co.	Wells Fargo	consumer protection violation	2016	private lawsuit-federal	$25,750,000
Wells Fargo & Co.	Wells Fargo	consumer protection violation	2013	private lawsuit-federal	$12,500,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2021	private lawsuit-federal	$6,945,095
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2017	private lawsuit-federal	$750,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2017	private lawsuit-federal	$880,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2016	private lawsuit-federal	$203,000,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2014	private lawsuit-federal	$140,500,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2012	private lawsuit-federal	$6,778,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2012	private lawsuit-federal	$3,190,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2011	private lawsuit-federal	$125,000,000
Wells Fargo Bank, N.A.	Wells Fargo	consumer protection violation	2022	private lawsuit-federal	$12,000,000
Wells Fargo Bank, N.A.	Wells Fargo	consumer protection violation	2022	private lawsuit-federal	$21,864,673
Wells Fargo Bank, N.A.	Wells Fargo	consumer protection violation	2021	private lawsuit-federal	$45,000,000
Wells Fargo Bank, N.A.	Wells Fargo	consumer protection violation	2020	private lawsuit-federal	$18,500,000
Wells Fargo Bank, N.A.	Wells Fargo	consumer protection violation	2019	private lawsuit-federal	$386,000,000
Wells Fargo Bank, N.A.	Wells Fargo	consumer protection violation	2019	private lawsuit-federal	$30,000,000
Wells Fargo Merchant Services LLC	Wells Fargo	consumer protection violation	2021	private lawsuit-federal	$40,000,000
Wells Fargo N.A.	Wells Fargo	consumer protection violation	2017	private lawsuit-federal	$50,000,000
Western Union Co.	Western Union	consumer protection violation	2016	private lawsuit-federal	$133,000,000
Western Union Co.	Western Union	consumer protection violation	2000	private lawsuit-federal	$375,000,000
Zions Bancorporation dba California Bank & Trust	Zions Bancorporation	consumer protection violation	2022	private lawsuit-federal	$14,000,000
Zions First National Bank	Zions Bancorporation	consumer protection violation	2014	private lawsuit-federal	$2,500,000
Farmers Insurance Company	Zurich Insurance	consumer protection violation	2011	private lawsuit-federal	$10,975,000
Commerce Bank NA	Commerce Bancshares	consumer protection violation	2013	private lawsuit-federal	$18,300,000
NBT Bank, N.A.	NBT Bancorp	consumer protection violation	2022	private lawsuit-federal	$5,747,792
Susquehanna Bank	Truist Financial	consumer protection violation	2014	private lawsuit-federal	$3,680,000
Asset Acceptance, LLC	Encore Capital Group	consumer protection violation	2013	NC-INS	$8,000
OneMain Financial	OneMain Holdings	consumer protection violation	2023	CFPB	$20,000,000
PHH Mortgage Corp.	Ocwen Financial	consumer protection violation	2023	private lawsuit-federal	$2,771,068
Robinhood Financial LLC	Robinhood Markets	consumer protection violation	2023	private lawsuit-federal	$9,900,000
TD Bank N.A.	Toronto-Dominion Bank	consumer protection violation	2023	private lawsuit-federal	$11,900,000
Freedom Mortgage Corp.	Freedom Mortgage	consumer protection violation	2023	NJ-AG	$502,000
Bank of America	Bank of America	consumer protection violation	2023	CFPB	$90,000,000
Bank of America N.A.	Bank of America	consumer protection violation	2023	OCC	$60,000,000
Bank of America N.A.	Bank of America	consumer protection violation	2023	private lawsuit-federal	$8,000,000
Enova International Inc.	Enova International	consumer protection violation	2023	CFPB	$15,000,000
TD Bank N.A.	Toronto-Dominion Bank	consumer protection violation	2023	private lawsuit-federal	$4,900,000
Lincoln National Corp.	Lincoln National	consumer protection violation	2023	private lawsuit-federal	$109,957,440
Bank of America	Bank of America	consumer protection violation	2023	CFPB	$12,000,000
State Farm Mutual Automobile Insurance Company	State Farm Insurance	consumer protection violation	2023	KY-AG	$1,350,000
USAA Casualty Insurance Company	USAA	consumer protection violation	2023	private lawsuit-federal	$2,291,738
Navient Solutions LLC	Navient	consumer protection violation	2023	private lawsuit-federal	$198,400,000
Nelnet, Inc.	Nelnet	consumer protection violation	2024	MA-AG	$1,800,000
U.S. Bank	U.S. Bancorp	consumer protection violation	2023	CFPB	$20,700,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2024	private lawsuit-federal	$81,700,000
Prosper Marketplace, Inc.	Prosper Marketplace	consumer protection violation	2024	CO-AG	$10,000
Navient Solutions, LLC	Navient	consumer protection violation	2023	VA-FIN	$43,600
James B. Nutter & Company	James B. Nutter & Company	consumer protection violation	2024	NC-BKG	$10,000
Credit Suisse Securities (USA) LLC	UBS	data submission deficiencies	2015	SEC	$4,250,000
JPMorgan Chase	JPMorgan Chase	data submission deficiencies	2016	CFTC	$225,000
JPMorgan Chase Bank	JPMorgan Chase	data submission deficiencies	2015	CFTC	$100,000,000
Deutsche Bank AG	Deutsche Bank	data submission deficiencies	2015	CFTC	$2,500,000
JPMorgan Securities	JPMorgan Chase	data submission deficiencies	2014	CFTC	$650,000
Mizuho Securities USA Inc.	Mizuho Financial	data submission deficiencies	2013	CFTC	$175,000
Morgan Stanley Capital Group	Morgan Stanley	data submission deficiencies	2010	CFTC	$14,000,000
UBS Securities	UBS	data submission deficiencies	2010	CFTC	$200,000
Citigroup Global Markets	Citigroup	data submission deficiencies	2016	SEC	$7,000,000
OZ Management LP	Sculptor Capital Management	data submission deficiencies	2015	SEC	$4,250,000
Scottrade	Charles Schwab Corp.	data submission deficiencies	2014	SEC	$2,500,000
Citigroup Private Bank GP, Inc.	Citigroup	data submission deficiencies	2009	CFTC	$100,000
J.P. Morgan Futures, Inc.	JPMorgan Chase	data submission deficiencies	2009	CFTC	$300,000
UBS Fund Advisor, LLC	UBS	data submission deficiencies	2009	CFTC	$50,000
BNP Paribas Commodity Futures, Ltd.	BNP Paribas	data submission deficiencies	2008	CFTC	$25,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC	Bank of America	data submission deficiencies	2007	CFTC	$500,000
Cinergy Marketing & Trading, LP	BNP Paribas	data submission deficiencies	2004	CFTC	$3,000,000
A.G. Edwards & Sons, Inc.	Wells Fargo	data submission deficiencies	2003	CFTC	$45,000
Prudential Securities, Inc.	Wells Fargo	data submission deficiencies	2002	CFTC	$65,000
Williams Power Company Inc.	JPMorgan Chase	data submission deficiencies	2006	DOJ_CRIMINAL	$50,000,000
Morgan Stanley & Co.	Morgan Stanley	data submission deficiencies	2006	SEC	$10,000,000
Deutsche Bank Securities Inc.	Deutsche Bank	data submission deficiencies	2002	SEC	$1,650,000
Goldman, Sachs & Co.	Goldman Sachs	data submission deficiencies	2002	SEC	$1,650,000
Morgan Stanley & Co. Incorporated	Morgan Stanley	data submission deficiencies	2002	SEC	$1,650,000
Salomon Smith Barney Inc.	Morgan Stanley	data submission deficiencies	2002	SEC	$1,650,000
U.S. Bancorp Piper Jaffray Inc.	Piper Sandler	data submission deficiencies	2002	SEC	$1,650,000
Barclays Bank PLC	Barclays	data submission deficiencies	2016	CFTC	$500,000
Wells Fargo Bank, N.A.	Wells Fargo	data submission deficiencies	2016	CFTC	$400,000
Societe Generale	Societe Generale	data submission deficiencies	2016	CFTC	$450,000
Morgan Stanley	Morgan Stanley	data submission deficiencies	2017	CFTC	$350,000
Citibank N.A.	Citigroup	data submission deficiencies	2017	CFTC	$550,000
Convergex Execution Solutions LLC	Toronto-Dominion Bank	data submission deficiencies	2018	SEC	$2,750,000
Compass Bank	PNC Financial Services	discriminatory practices (non-employment)	2007	DOJ_RIGHTS	$1,750,000
AIG Federal Savings Bank and Wilmington Finance Inc.	American International Group	discriminatory practices (non-employment)	2010	DOJ_RIGHTS	$6,100,000
Union Savings Bank and Guardian Savings Bank	Union Savings Bank	discriminatory practices (non-employment)	2016	DOJ_RIGHTS	$9,000,000
First Tennessee Bank	First Horizon National	discriminatory practices (non-employment)	2016	HUD	$1,900,000
Associated Bank, N.A.	Associated Banc-Corp	discriminatory practices (non-employment)	2015	HUD	$200,000,000
Wells Fargo Home Mortgage	Wells Fargo	discriminatory practices (non-employment)	2014	HUD	$5,000,000
Midland States Bancorp	Midland States Bancorp	discriminatory practices (non-employment)	2014	HUD	$15,950,000
U.S. Bank National Association	U.S. Bancorp	discriminatory practices (non-employment)	2014	HUD	$11,489
Freedom Mortgage Corporation	Freedom Mortgage	discriminatory practices (non-employment)	2014	HUD	$104,000
Bank of America	Bank of America	discriminatory practices (non-employment)	2013	HUD	$45,000
Bank of America	Bank of America	discriminatory practices (non-employment)	2013	HUD	$22,449
SunTrust Mortgage, Inc.	Truist Financial	discriminatory practices (non-employment)	2013	HUD	$36,000
PNC Mortgage	PNC Financial Services	discriminatory practices (non-employment)	2013	HUD	$15,000
U.S. Bank National Association	U.S. Bancorp	discriminatory practices (non-employment)	2013	HUD	$12,000