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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
UniCredit GroupUniCrediteconomic sanction violation2019NY-DFS$405,000,000
Deutsche Bank Trust Company AmericasDeutsche Bankeconomic sanction violation2020OFAC$583,100
Bank of China (UK) LimitedBank of Chinaeconomic sanction violation2021OFAC$2,329,991
TD Bank, N.A.Toronto-Dominion Bankeconomic sanction violation2021OFAC$115,005
Banco Popular de Puerto RicoPopular Inc.economic sanction violation2022OFAC$255,938
American Express National BankAmerican Expresseconomic sanction violation2022OFAC$430,500
Wells Fargo & Co.Wells Fargoeconomic sanction violation2023OFAC$30,000,000
Binance Holdings, LtdBinance Holdingseconomic sanction violation2023OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $968,618,825
Privilege Underwriters Reciprocal ExchangeTokio Marineeconomic sanction violation2023OFAC$466,200
Nasdaq, Inc.Nasdaq Inc.economic sanction violation2023OFAC$4,040,923
Ameriprise Financial, Inc.Ameriprise Financialemployment discrimination2016OFCCP$128,200
Bank of America CorpBank of Americaemployment discrimination2013OFCCP$2,181,593
Vanguard GroupVanguard Groupemployment discrimination2010EEOC$300,000
Branch Banking and Trust (BB&T)Truist Financialemployment discrimination2010EEOC$24,000
Mercury Air Centers Inc.Macquarieemployment discrimination2010EEOC$600,000
Bank of the WestBank of Montrealemployment discrimination2011EEOC$48,000
United Insurance Company of AmericaKemperemployment discrimination2012EEOC$37,500
Vitol, Inc.Vitolemployment discrimination2012EEOC$62,500
BMO Harris BankBank of Montrealemployment discrimination2013EEOC$400,000
Regions Financial CorporationRegions Financialemployment discrimination2013EEOC$95,000
JPMorgan ChaseJPMorgan Chaseemployment discrimination2014EEOC$1,450,000
BOK Financial Corporation dba the Bank of AlbuquerqueBOK Financialemployment discrimination2014EEOC$230,000
SunTrust BankTruist Financialemployment discrimination2014EEOC$300,000
Wells Fargo Bank, N.A.Wells Fargoemployment discrimination2014EEOC$290,000
Wells Fargo & CompanyWells Fargoemployment discrimination2014EEOC$295,000
Bank of AmericaBank of Americaemployment discrimination2014EEOC$110,000
Bank of AmericaBank of Americaemployment discrimination2016EEOC$30,000
Farmers Insurance ExchangeFarmers Insurance Exchangeemployment discrimination2016EEOC$225,000
Simmons First National BankSimmons First National Corp.employment discrimination2010OFCCP$360,187
Wells FargoWells Fargoemployment discrimination2015OFCCP$14,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceemployment discrimination2011OFCCP$18,505
Allstate Insurance CompanyAllstateemployment discrimination2009EEOC$4,500,000
Merrill LynchBank of Americaemployment discrimination2008EEOC$1,550,000
Vanguard Group, Inc.Vanguard Groupemployment discrimination2008EEOC$500,000
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2006EEOC$2,200,000
Morgan StanleyMorgan Stanleyemployment discrimination2004EEOC$54,000,000
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2002EEOC$150,000
Salomon Smith BarneyMorgan Stanleyemployment discrimination2001EEOC$635,000
Josephthal & Co.Oppenheimer Holdingsemployment discrimination2000EEOC$330,000
Cincinnati Bell Telephone and Cincinnati Bell Information SystemsMacquarieemployment discrimination2000EEOC$1,000,000
Brown & BrownBrown & Brownemployment discrimination2017EEOC$100,000
Bank of AmericaBank of Americaemployment discrimination2017OFCCP$1,000,000
Fifth Third BankFifth Third Bancorpemployment discrimination2000OFCCP$440,000
State Street CorporationState Street Corp.employment discrimination2017OFCCP$4,492,174
American Express Financial AdvisorsAmeriprise Financialemployment discrimination2002private lawsuit-federal$31,000,000
Merrill LynchBank of Americaemployment discrimination2013private lawsuit-federal$38,225,000
Merrill LynchBank of Americaemployment discrimination2013private lawsuit-federal$160,000,000
Banc of America Investment ServicesBank of Americaemployment discrimination2009private lawsuit-federal$7,200,000
Combined Insurance Company of AmericaChubb Limitedemployment discrimination2005private lawsuit-federal$8,500,000
Cincinnati Insurance CompanyCincinnati Financialemployment discrimination2006private lawsuit-federal$537,500
Farmers Insurance ExchangeFarmers Insurance Exchangeemployment discrimination2016private lawsuit-federal$6,140,000
JPMorgan ChaseJPMorgan Chaseemployment discrimination2018private lawsuit-federal$24,000,000
MetLife SecuritiesMetLifeemployment discrimination2017private lawsuit-federal$32,500,000
Metropolitan LifeMetLifeemployment discrimination2003private lawsuit-federal$10,000,000
Smith BarneyMorgan Stanleyemployment discrimination2008private lawsuit-federal$33,000,000
Morgan StanleyMorgan Stanleyemployment discrimination2007private lawsuit-federal$46,000,000
Morgan StanleyMorgan Stanleyemployment discrimination2008private lawsuit-federal$750,000
Morgan StanleyMorgan Stanleyemployment discrimination2008private lawsuit-federal$16,000,000
Norddeutsche Landesbank GirozentraleNorddeutsche Landesbankemployment discrimination2008private lawsuit-federal$2,618,600
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2003private lawsuit-federal$15,000,000
Spencer Press of MaineChatham Asset Managementemployment discrimination2004private lawsuit-federal$480,552
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2004private lawsuit-federal$15,000,000
Wells Fargo AdvisorsWells Fargoemployment discrimination2011private lawsuit-federal$32,000,000
Wells Fargo AdvisorsWells Fargoemployment discrimination2017private lawsuit-federal$35,500,000
Willis GroupWillis Towers Watsonemployment discrimination2011private lawsuit-federal$11,595,038
Willis GroupWillis Towers Watsonemployment discrimination2008private lawsuit-federal$12,757,949
Liberty Mutual InsuranceLiberty Mutual Insuranceemployment discrimination2000private lawsuit-state$348,111
Ocwen FinancialOcwen Financialemployment discrimination2005private lawsuit-state$2,000,000
Asurion, LLCAsurionemployment discrimination2019EEOC$50,000
Wilmington Trust CorporationM&T Bankemployment discrimination2018EEOC$700,000
Bank of New York MellonBank of New York Mellonemployment discrimination2010NJ-AG$188,037
Goldman SachsGoldman Sachsemployment discrimination2019OFCCP$9,995,000
Wells Fargo Bank N.A.Wells Fargoemployment discrimination2019OFCCP$283,697
Bank of AmericaBank of Americaemployment discrimination2019OFCCP$4,200,000
Zenith Insurance Co.Fairfax Financial Holdingsemployment discrimination2006EEOC$180,000
Indiana Insurance Co.Liberty Mutual Insuranceemployment discrimination2004EEOC$178,065
Fifth Third BankFifth Third Bancorpemployment discrimination2004EEOC$225,000
Wilmington Trust Co.M&T Bankemployment discrimination2004EEOC$70,000
Wells Fargo Financial Texas, Inc.Wells Fargoemployment discrimination2003EEOC$110,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseemployment discrimination2019private lawsuit-federal$5,000,000
M&T BankM&T Bankemployment discrimination2020EEOC$100,000
Jackson National Life Insurance CompanyJackson Financialemployment discrimination2020EEOC$20,500,000
American Security Insurance CompanyAssurantemployment discrimination2020EEOC$49,000
Teachers Insurance and Annuity AssociationTIAAemployment discrimination2020OFCCP$1,500,000
Wells Fargo Bank, N.A.Wells Fargoemployment discrimination2020OFCCP$7,800,000
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2020OFCCP$9,000,000
Wells Fargo & Co.Wells Fargoemployment discrimination2021private lawsuit-federal$18,700,000
JP Morgan Chase Bank, NAJPMorgan Chaseemployment discrimination2019CA-CRD$60,000
HSBCHSBCemployment discrimination2020NY-NYCCHR$30,000
Edward D. Jones & Co.Jones Financialemployment discrimination2021private lawsuit-federal$58,000,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.employment discrimination2021EEOC$40,000
American Express CompanyAmerican Expressemployment discrimination2022DOJ_RIGHTS$29,008
JP Morgan Chase Bank N.AJPMorgan Chaseemployment discrimination2022CA-CRD$16,698
The Bank of New York Mellon CorporationBank of New York Mellonemployment discrimination2022OFCCP$1,925,000
Asurion LLCAsurionemployment discrimination2023DOJ_RIGHTS$13,395
Aon Risk ServicesAonemployment discrimination2022NY-NYCCHR$80,000
Navient CorporationNavientemployment discrimination2023OFCCP$700,000
Goldman SachsGoldman Sachsemployment discrimination2023private lawsuit-federal$215,000,000
Citizens BankCitizens Financial Groupemployment discrimination2023EEOC$100,000
Umpqua BankUmpqua Holdingsemployment screening violation2019private lawsuit-federal$325,000
Wells Fargo BankWells Fargoemployment screening violation2016private lawsuit-federal$12,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.