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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
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 TypeYear sort icon . AgencyPenalty Amount
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2005FINRA$90,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2005FINRA$60,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2005FINRA$60,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2005FINRA$40,000
UBS International Inc.UBSinvestor protection violation2005FINRA$10,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2005FINRA$2,650,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2005FINRA$150,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2005FINRA$125,000
AllianceBernstein Investment Research and Management, Inc.Equitable Holdingsinvestor protection violation2005FINRA$3,984,087
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2005FINRA$2,970,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2005FINRA$2,500,000
RBC Dain Rauscher, Inc.Royal Bank of Canadainvestor protection violation2005FINRA$1,700,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2005FINRA$900,000
SunTrust Capital Markets, Inc.Truist Financialinvestor protection violation2005FINRA$100,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2005FINRA$888,000
Thomas Weisel PartnersStifel Financialinvestor protection violation2005FINRA$1,750,000
Jefferson Pilot Variable CorporationLincoln Nationalinvestor protection violation2005FINRA$688,697
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2005FINRA$6,250,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2005FINRA$13,000,000
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$2,000,000
Spear, Leeds & Kellogg, L.PGoldman Sachsinvestor protection violation2005FINRA$1,000,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005FINRA$275,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2005FINRA$250,000
Banc One Securities CorporationJPMorgan Chaseinvestor protection violation2005FINRA$400,000
Highmark, Inc.Highmark Inc.campaign finance violation2005FEC$54,078
Washington Mutual Bank, F. A.JPMorgan Chaseenvironmental violation2005CA-SCAQMD$23,264
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2005CA-LCO$6,572
SPENCER PRESS OF MAINE INC.Chatham Asset Managementworkplace safety or health violation2005OSHA$35,000
Big Cajun 2 - Louisiana Generating LLCMacquarieenvironmental violation2005EPA$19,250
Vitol S.A., Inc.Vitolenvironmental violation2005EPA$41,600
BUSEY BANKFirst Busey Corp.banking violation2006FDIC$5,200
THE RICHLAND TRUST COMPANYPark National Corp.banking violation2006FDIC$11,100
Crawford and CompanyCrawford & Co.False Claims Act and related2006DOJ_CIVIL$1,363,204
Prudential Equity Group LLCPrudential Financialinvestor protection violation2006DOJ_CRIMINAL$600,000,000
BankAtlanticTruist Financialanti-money-laundering deficiencies2006DOJ_CRIMINAL$10,000,000
Williams Power Company Inc.JPMorgan Chasedata submission deficiencies2006DOJ_CRIMINAL$50,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2006DOJ_CRIMINAL$25,000,000
ABN AMRO Bank, N.V.ABN AMROeconomic sanction violation2006OFAC$40,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2006OCC$125,000
First National Bank of OmahaFirst National of Nebraskabanking violation2006OCC$25,000
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2006OCC$16,500
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.insider trading2006SEC$3,755,839
Hartford Financial Services Group, Inc.Hartford Financial Servicesinvestor protection violation2006SEC$55,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2006SEC$10,000,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2006SEC$125,000
Banc of America Securities LLCBank of Americainvestor protection violation2006SEC$750,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2006SEC$1,500,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2006SEC$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2006SEC$1,500,000
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2006SEC$125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006SEC$1,500,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006SEC$125,000
RBC Dain Rauscher IncRoyal Bank of Canadainvestor protection violation2006SEC$1,500,000
SunTrust Capital Markets Inc.Truist Financialinvestor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2006SEC$125,000
Federal National Mortgage Association (Fannie Mae)Fannie Maeaccounting fraud or deficiencies2006SEC$400,000,000
Morgan Stanley & Co.Morgan Stanleydata submission deficiencies2006SEC$10,000,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$250,000,000
American International Group, Inc.American International Groupinvestor protection violation2006SEC$800,000,000
Israel Discount BankIsrael Discount Bankanti-money-laundering deficiencies2006FINCEN$12,000,000
CitiMortgage, Inc.Citigroupconsumer protection violation2006HUD$650,000
Fifth Third BankFifth Third Bancorpdiscriminatory practices (non-employment)2006HUD$125,000
ABN AMRO Mortgage GroupABN AMROmortgage abuses2006HUD$41,000,000
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2006EBSA$10,001
HORACE MANN SERVICE CORPORATIONHorace Mann Educators Corp.benefit plan administrator violation2006EBSA$10,001
LAVA TRADING INC.Citigroupbenefit plan administrator violation2006EBSA$50,001
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2006EEOC$2,200,000
Wells Fargo BankWells FargoFamily and Medical Leave Act2006WHD$5,152
Banco Bilbao Vizcaya Puerto RicoBanco Bilbao Vizcaya Argentariawage and hour violation2006WHD$31,571
U.S. BancorpU.S. Bancorpwage and hour violation2006WHD$140,788
The First American Title CompanyFirst American Financialwage and hour violation2006WHD$72,363
TIAA - CREFTIAAwage and hour violation2006WHD$468,336
HSBC North America IncHSBCwage and hour violation2006WHD$5,357
HSBC North America Inc.HSBCwage and hour violation2006WHD$11,489
HSBC North America Inc.HSBCwage and hour violation2006WHD$12,685
HSBC North America Inc.HSBCwage and hour violation2006WHD$8,273
AXA Equitable Life Insurance CompanyEquitable Holdingswage and hour violation2006WHD$29,534
HSBC BankHSBCwage and hour violation2006WHD$7,599
Bank of America CorporationBank of Americawage and hour violation2006WHD$265,774
IFCO Systems of North America Inc.Triton Investments Adviserswage and hour violation2006WHD$82,085
Mercer HR Services, LLCMarsh & McLennanwage and hour violation2006WHD$49,474
SunTrust Bank, Inc.Truist Financialwage and hour violation2006WHD$350,875
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$14,479
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$1,800,282
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$30,928
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$1,712,712
Austin Mutual Insurance CompanyAmerican Family Insurancewage and hour violation2006WHD$16,245
IFCO Systems of North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$84,459
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$294,023
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$270,379
IFCO Systems of North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$13,399
IFCO Systems of North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$108,261
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americawage and hour violation2006WHD$7,060
Atlantic Credit and Finance, Inc.Encore Capital Groupwage and hour violation2006WHD$9,422
Brothers Property CorporationAmerican Financial Groupwage and hour violation2006WHD$29,273
PNC BankPNC Financial Serviceslabor relations violation2006NLRB$40,000
TD BanknorthToronto-Dominion Banklabor relations violation2006NLRB$5,000
J.P. Morgan Chase & Co. and Forum Temporary ServicesJPMorgan Chaselabor relations violation2006NLRB$60,760
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.