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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 TypeYear sort iconAgencyPenalty Amount
M&T BankM&T Bankemployment discrimination2020EEOC$100,000
Jackson National Life Insurance CompanyJackson Financialemployment discrimination2020EEOC$20,500,000
Glacier BankGlacier Bancorpbanking violation2020FDIC$16,750
Wells Fargo & CompanyWells Fargofraud2020DOJ_CIVIL$3,000,000,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveetax violations2020DOJ_TAX$14,000,000
Citibank, N.A.Citigroupbanking violation2020OCC$17,998,510
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargoinvestor protection violation2020SEC$35,000,000
Wells Fargo & Co.Wells Fargoinvestor protection violation2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2020SEC$586,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$1,822,438
LendingClub CorporationLendingClub Corp.consumer protection violation2020MA-AG$1,250,000
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2020EBSA$88,000,000
American Security Insurance CompanyAssurantemployment discrimination2020EEOC$49,000
East West BankEast West Bancorpbanking violation2020FED$129,108
Bank Hapoalim B.M,Bank Hapoalimtax violations2020FED$37,350,000
Guaranteed Rate Inc.Guaranteed Rate Inc.False Claims Act and related2020DOJ_CIVIL$15,060,000
Bank Hapoalim B.M.Bank Hapoalimanti-money-laundering deficiencies2020DOJ_CRIMINAL$30,063,317
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd.Bank Hapoalimtax violations2020DOJ_TAX$616,910,000
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020USAO$51,000,000
Buckeye Partners, LPIFM Investorsenvironmental violation2020PHMSA$209,002
U.S. Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2020SEC$15,992,441
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2020SEC$5,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2020SEC$3,889,007
Merrill Lynch, Pierce and Fenner & Smith, IncorporatedBank of Americainvestor protection violation2020SEC$325,376
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2020SEC$3,200,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2020SEC$725,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020MULTI-AG$550,000,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020MA-AG$363,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2020AK-DBS$10,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AK-DBS$10,527
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AL-SEC$18,874
American Family Connect Property and Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2020AZ-DIFI$50,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CA-DFPI$52,047
Societe Generale Financial CorporationSociete Generalebanking violation2020CA-DFPI$10,250
Harleysville Insurance Co.Nationwideinsurance violation2020CT-INS$49,000
Allstate Indemnity Co.Allstateinsurance violation2020CT-INS$7,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CT-SEC$51,136
American Bankers Insurance Company of FloridaAssurantinsurance violation2020CT-INS$198,000
Hartford Underwriters Insurance Co. et al.Hartford Financial Servicesinsurance violation2020DE-INS$34,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2020DE-INS$6,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020GA-SEC$22,104
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020IA-INS$10,147
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IN-SEC$15,575
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020KY-FIN$325,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2020MD-INS$90,000
First American Title Insurance Co.First American Financialinsurance violation2020MD-INS$52,000
National Union Fire Insurance Company of Pittsburgh, Pennsylvania et al.American International Groupinsurance violation2020MD-INS$20,000
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020ME-SEC$5,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2020MI-SEC$50,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2020MN-FIN$15,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2020MN-FIN$5,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2020MN-FIN$5,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MO-SEC$9,130
Great Plains Specialty Finance, Inc. dba Check 'n GoCNG Financialconsumer protection violation2020NE-DBF$9,700
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NH-BSR$90,000
Asurion Insurance Services, Inc. and Asurion Protection Services LLCAsurioninsurance violation2020NY-DFS$4,000,000
Lincoln Life & Annuity Company of New YorkLincoln Nationalinsurance violation2020NY-DFS$193,166
MassMutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2020NY-DFS$1,399,708
Pacific Life & Annuity CompanyPacific Lifeinsurance violation2020NY-DFS$425,533
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020NY-DFS$35,000,000
Bank Hapoalim B.M.Bank Hapoalimtax violations2020NY-DFS$220,000,000
Great Plains Specialty Finance Inc. dba Check 'N GoCNG Financialconsumer protection violation2020OK-DCC$27,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020OK-SEC$9,968
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020OR-FIN$10,599
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2020OR-FIN$25,000
USAA Casualty Insurance CompanyUSAAinsurance violation2020RI-FIN$12,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020RI-FIN$25,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020TN-SEC$12,994
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2020TX-SEC$600,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2020TX-INS$6,350
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$7,025
LendingClub CorporationLendingClub Corp.investor protection violation2020TX-SEC$400,000
Elephant Insurance CompanyAdmiral Groupinsurance violation2020TX-INS$80,000
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$27,560
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$91,872
John Hancock Life Insurance CompanyManulife Financialinsurance violation2020VA-INS$60,600
Jefferson National Life Insurance CompanyNationwideinsurance violation2020VA-INS$27,600
The Travelers Indemnity Company ofAmericaTravelersinsurance violation2020VA-INS$49,500
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2020VA-SEC$5,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020VT-FIN$6,900
Merrill LynchBank of Americainvestor protection violation2020VT-FIN$125,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2020VT-FIN$31,000
Farmers Insurance Company Of Washington And Farmers Insurance ExchangeZurich Insuranceinsurance violation2020WA-INS$50,000
Ace American Insurance CompanyChubb Limitedinsurance violation2020WA-INS$750,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020WA-INS$10,000
Lincoln National Life Insurance Company TheLincoln Nationalinsurance violation2020WA-INS$8,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2020WA-INS$20,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020WA-FIN$33,753
National General Insurance CompanyAllstateinsurance violation2020AZ-DIFI$75,000
BOK Financial Securities, Inc.BOK Financialinsurance violation2020CA-INS$5,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2020CFPB$122,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$50,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$77,400,000
Interactive Brokers LLCInteractive Brokers Groupanti-money-laundering deficiencies2020CFTC$12,206,214
Deutsche Bank AGDeutsche Bankinvestor protection violation2020CFTC$9,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2020CFTC$1,250,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2020CT-INS$28,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2020CT-INS$8,500
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2020CT-INS$106,000
Nationwide Life Insurance Co.Nationwideinsurance violation2020CT-INS$10,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2020CT-INS$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.