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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
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019SEC$1,545,758
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsinvestor protection violation2019SEC$810,785
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$1,852,540
Virtu Americas LLCVirtu Financialinvestor protection violation2019SEC$1,500,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealinvestor protection violation2019SEC$37,980,000
Barclays PLCBarclaysForeign Corrupt Practices Act2019SEC$6,308,726
GFI Securities LLCBGC Partnersinvestor protection violation2019SEC$4,300,000
Raymond James & Associates, Inc. et al.Raymond James Financialinvestor protection violation2019SEC$15,000,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2019SEC$225,000
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2019SEC$2,700,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2019SEC$1,950,000
Prudential Financial Inc.Prudential Financialinvestor protection violation2019SEC$32,600,000
Great American Financial Resources, Inc.American Financial Groupwage and hour violation2019private lawsuit-federal$1,250,000
Fidelity InvestmentsFidelity Investmentswage and hour violation2019private lawsuit-federal$1,200,000
UniCredit Bank AGUniCrediteconomic sanction violation2019NY-MANDA$316,000,000
UniCredit Bank Austria AGUniCrediteconomic sanction violation2019NY-MANDA$20,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019NY-MANDA$292,000,000
Wells Fargo Bank N.A.Wells Fargowage and hour violation2019WHD$57,675
JPMorgan Chase Bank, N.A.JPMorgan Chaseemployment discrimination2019private lawsuit-federal$5,000,000
Edward D. Jones & Co., L.P.Jones Financialbenefit plan administrator violation2019private lawsuit-federal$3,175,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasewage and hour violation2019private lawsuit-federal$1,850,000
HSBC Private Bank (Suisse) SAHSBCtax violations2019USAO$192,350,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2019CFTC$1,000,000
Coutts & Co Ltd.NatWest Group PLCtax violations2019DOJ_TAX$27,900,000
Allianz Global Risks U.S. Insurance CompanAllianzeconomic sanction violation2019OFAC$170,535
ACE LimitedChubb Limitedeconomic sanction violation2019OFAC$66,212
MetLife, Inc.MetLifeinvestor protection violation2019SEC$10,000,000
LPL Financial LLCLPL Financialinvestor protection violation2019AK-DBS$499,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2019AK-INS$20,000
Marsh USA Inc.Marsh & McLennaninsurance violation2019AK-INS$30,000
Encompass Indemnity Co. and Encompass Insurance Company of AmericaAllstateinsurance violation2019AR-INS$40,000
LPL Financial LLCLPL Financialinvestor protection violation2019AR-SEC$40,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2019AR-SEC$5,000
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc.Wells Fargoinsurance violation2019CA-INS$5,345,816
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$85,000
Cash America Advance, Inc.FirstCashpayday lending violation2019CA-DFPI$10,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2019CA-DFPI$349,015
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$7,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$6,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$10,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinsurance violation2019CA-INS$15,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2019CA-MHC$5,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$65,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$10,000
CitiMortgage, Inc.Citigroupconsumer protection violation2019CA-DFPI$7,800,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$5,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$150,000
Mercury Insurance Co. and Mercury Casualty Co. and California Automobile Insurance Co.Mercury General Corporationinsurance violation2019CA-INS$41,188,505
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2019CA-MHC$5,000
TitleMax of California, Inc.TMX Financeconsumer protection violation2019CA-DFPI$720,140
OneMain Financial Group, LLCOneMain Holdingsconsumer protection violation2019CA-DFPI$150,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$20,000
National Western Life Insurance Co.National Western Lifeinsurance violation2019CO-INS$34,500
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019CO-INS$147,775
Permanent General Assurance Corp.American Family Insuranceinsurance violation2019CO-INS$56,494
Permanent General Assurance Corporation of OhioAmerican Family Insuranceinsurance violation2019CO-INS$50,974
Kemper Independence Insurance Co.Kemperinsurance violation2019CT-INS$134,000
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2019CT-INS$64,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc.Voya Financialinvestor protection violation2019CT-SEC$1,015,000
Massachusetts Mutual Life Insurance Company, Inc.Massachusetts Mutual Life Insuranceinsurance violation2019CT-INS$61,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2019CT-INS$23,000
National General Insurance Co.Allstateinsurance violation2019CT-INS$167,500
Berkshire Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2019CT-INS$7,500
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2019CT-INS$5,000
AIG Property Casualty Co.American International Groupinsurance violation2019CT-INS$120,000
Continental American Insurance Co.Aflacinsurance violation2019CT-INS$10,000
Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2019CT-INS$16,500
Hartford Casualty Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$57,500
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2019CT-INS$43,000
Property Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2019CT-INS$14,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$141,500
Sentinel Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$84,000
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc.Global Payments Inc.consumer protection violation2019CT-BKG$12,450
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2019CT-INS$60,500
Horace Mann Property & Casualty Insurance Co.Horace Mann Educators Corp.insurance violation2019CT-INS$18,000
American Alternative Insurance Corp.Munich Reinsurance violation2019CT-INS$49,500
Lincoln Life & Annuity Company of New YorkLincoln Nationalinsurance violation2019CT-INS$7,500
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019CT-INS$65,000
Allstate Insurance Co. et al.Allstateinsurance violation2019DE-INS$12,500
United Service Automobile Association et al.USAAinsurance violation2019DE-INS$32,500
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019DE-INS$13,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2019DE-INS$8,000
American General Life Insurance Co.American International Groupinsurance violation2019DE-INS$85,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2019DE-INS$18,000
Hartford Underwriters Insurance Co. et al.Hartford Financial Servicesinsurance violation2019DE-INS$23,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2019DE-INS$41,200
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2019DE-INS$20,000
Bankers Standard Insurance Co. et al.Chubb Limitedinsurance violation2019DE-INS$16,000
Nationwide General Insurance Co. et al.Nationwideinsurance violation2019DE-INS$56,600
First American Title Insurance Co.First American Financialinsurance violation2019DE-INS$36,000
Praetorian Insurance Co. and QBE Insurance Corp. and QBE Speciality Insurance Co.QBE Insuranceinsurance violation2019DE-INS$70,100
Foremost Property and Casualty Insurance Co. et al.Zurich Insuranceinsurance violation2019DE-INS$11,000
Western Union International Services LLCWestern Unionconsumer protection violation2019FL-OFR$10,000
Arch Insurance Co.Arch Capitalinsurance violation2019ID-INS$5,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2019IN-INS$5,000
ServiceLink LLCFidelity National Financialinsurance violation2019IN-INS$7,500
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019KS-INS$60,000
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019KS-INS$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.