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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 TypeYearAgencyPenalty Amount sort icon .
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2014FINRA$15,000,000
TitleMax and TMX FinanceTMX Financeconsumer protection violation2023CFPB$15,000,000
ING Life Insurance & Annuity Co.Voya Financialbenefit plan administrator violation2014private lawsuit-federal$14,950,000
BNY MellonBank of New York MellonForeign Corrupt Practices Act2015SEC$14,800,000
Aon CorporationAonForeign Corrupt Practices Act2011SEC$14,545,020
Wells Fargo Bank, N.A.Wells Fargoinvestor protection violation2019CFTC$14,475,000
UBS Securities LLCUBSinvestor protection violation2015SEC$14,400,000
Morgan Stanley Capital GroupMorgan Stanleydata submission deficiencies2010CFTC$14,000,000
Goldman SachsGoldman Sachsmortgage abuses2018FED$14,000,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2018SEC$14,000,000
Merrill LynchBank of Americawage and hour violation2016private lawsuit-federal$14,000,000
New York Life InsuranceNew York Life Insurancebenefit plan administrator violation2008private lawsuit-federal$14,000,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveetax violations2020DOJ_TAX$14,000,000
Assurant, Inc.Assurantinsurance violation2013NY-DFS$14,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2005FINRA$14,000,000
John Hancock Life Insurance CompanyManulife Financialbenefit plan administrator violation2021private lawsuit-federal$14,000,000
Franklin Resources, Inc.Franklin Resourcesbenefit plan administrator violation2019private lawsuit-federal$13,850,000
Wells Fargo BankWells Fargomortgage abuses2015MD-AG$13,800,000
Hartford Life Insurance CompanyHartford Financial Servicesbenefit plan administrator violation2010private lawsuit-federal$13,775,000
Barclays Capital, Inc.Barclaysinvestor protection violation2015FINRA$13,750,000
Merrill LynchBank of Americatoxic securities abuses2008MA-AG$13,700,000
E-Loan Inc.Popular Inc.wage and hour violation2007private lawsuit-federal$13,600,000
Bank of AmericaBank of Americafraud2010DC-AG$13,502,852
Metropolitan Life Insurance CompanyMetLifekickbacks and bribery2010USAO$13,500,000
LaSalle BankBank of Americabenefit plan administrator violation2011private lawsuit-federal$13,500,000
US BankU.S. Bancorphousing code violation2016CA-LACA$13,500,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2015FINRA$13,500,000
State FarmState Farm Insuranceinsurance violation2017CA-INS$13,335,701
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2005CA-INS$13,300,000
John Hancock Life Insurance CompanyManulife Financialinsurance violation2012MULTI-FIN$13,300,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2017FINRA$13,030,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2017SEC$13,000,000
Mastercard International Inc.MasterCardconsumer protection violation2017CFPB$13,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaanti-money-laundering deficiencies2017SEC$13,000,000
Wells FargoWells Fargowage and hour violation2017private lawsuit-state$13,000,000
Bank of AmericaBank of Americafraud2016DC-AG$13,000,000
CashCall Inc.CashCall Inc.consumer protection violation2015WV-AG$13,000,000
MoneyGram Payment SystemsMoneyGram Internationalconsumer protection violation2016MULTI-AG$13,000,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2005FINRA$13,000,000
Dain Rauscher IncorporatedRoyal Bank of Canadainvestor protection violation2000SEC$12,941,191
Citigroup Global Markets Inc.Citigroupinvestor protection violation2018SEC$12,937,475
Barclays PLCBarclaysprice-fixing or anti-competitive practices2018DOJ_CRIMINAL$12,896,011
Wells FargoWells Fargowage and hour violation2007private lawsuit-federal$12,800,000
Willis GroupWillis Towers Watsonemployment discrimination2008private lawsuit-federal$12,757,949
Barclays Capital Inc.Barclaysinvestor protection violation2017SEC$12,710,040
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2013MULTI-AG$12,600,000
HSBC Private Bank (Suisse)HSBCinvestor protection violation2014SEC$12,500,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2004SEC$12,500,000
Merrill LynchBank of Americainvestor protection violation2016SEC$12,500,000
Prudential FinancialPrudential Financialwage and hour violation2017private lawsuit-federal$12,500,000
Bank of ChinaBank of Chinabanking violation2018OCC$12,500,000
American International Group, Inc.American International Groupprice-fixing or anti-competitive practices2008MULTI-AG$12,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $12,500,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2016FINRA$12,500,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2007FINRA$12,500,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2004FINRA$12,500,000
Allianz SEAllianzForeign Corrupt Practices Act2012SEC$12,396,423
Wachovia CorporationWells Fargobenefit plan administrator violation2011private lawsuit-federal$12,350,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$12,300,000
Interactive Brokers LLCInteractive Brokers Groupanti-money-laundering deficiencies2020CFTC$12,206,214
H&R BlockH&R Blockconsumer protection violation2010NY-AG$12,150,000
BlackRock Advisors LLCBlackRockinvestor protection violation2015SEC$12,000,000
Goldman Sachs & Co.Goldman Sachsillicit political contributions2012SEC$12,000,000
Capital One N.A.Capital One Financialconsumer protection violation2012DOJ_RIGHTS$12,000,000
State Street Bank and Trust CompanyState Street Corp.illicit political contributions2016SEC$12,000,000
Israel Discount BankIsrael Discount Bankanti-money-laundering deficiencies2006FINCEN$12,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2015private lawsuit-federal$12,000,000
Old Republic TitleOld Republic Internationalwage and hour violation2014private lawsuit-federal$12,000,000
Merrill LynchBank of Americawage and hour violation2013private lawsuit-federal$12,000,000
A.G. EdwardsWells Fargowage and hour violation2009private lawsuit-federal$12,000,000
Knight Capital Americas LLCVirtu Financialinvestor protection violation2013SEC$12,000,000
Commerzbank AGCommerzbankinvestor protection violation2018CFTC$12,000,000
Allianz Asset Management of America, L.P.Allianzbenefit plan administrator violation2018private lawsuit-federal$12,000,000
FMR LLCFidelity Investmentsbenefit plan administrator violation2014private lawsuit-federal$12,000,000
Wells Fargo BankWells Fargoemployment screening violation2016private lawsuit-federal$12,000,000
Fannie MaeFannie Maeconsumer protection violation2008NY-AG$12,000,000
Freddie MacFreddie Mac (Federal Home Loan Mortgage Corporation)consumer protection violation2008NY-AG$12,000,000
American International GroupAmerican International Groupinsurance violation2021NY-DFS$12,000,000
UBS Securities LLCUBSinvestor protection violation2011FINRA$12,000,000
Encore Capital Group, Inc. et al.Encore Capital Groupconsumer protection violation2022MA-AG$12,000,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CFPB$11,790,000
Allstate CorporationAllstatediscriminatory practices (non-employment)2007private lawsuit-federal$11,720,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2019SEC$11,715,395
CashCall, Inc.CashCall Inc.consumer protection violation2016MN-AG$11,700,000
State Street BankState Street Corp.investor protection violation2010WA-AG$11,700,000
LPL Financial LLCLPL Financialinvestor protection violation2015FINRA$11,700,000
IBERIABANKFirst Horizon NationalFalse Claims Act and related2017DOJ_CIVIL$11,692,149
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2021FINRA$11,650,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzinvestor protection violation2004SEC$11,600,000
Ocwen Financial CorporationOcwen Financialmortgage abuses2020FL-AG$11,600,000
Willis GroupWillis Towers Watsonemployment discrimination2011private lawsuit-federal$11,595,038
Citizens Financial GroupCitizens Financial Groupwage and hour violation2014private lawsuit-federal$11,501,500
DB Structured Products, Inc.Deutsche Banktoxic securities abuses2013NV-AG$11,500,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2020SEC$11,500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017FINRA$11,500,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLCPrudential Financialinvestor protection violation2004FINRA$11,500,000
GreenSky, LLCGoldman Sachsconsumer protection violation2021CFPB$11,500,000
AmSouth BankRegions Financialinvestor protection violation2008SEC$11,400,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2012FINRA$11,250,000
Transamerica Insurance Co.Aegoninsurance violation2013MULTI-AG$11,200,000
Wells Fargo Securities LLCWells Fargotoxic securities abuses2011SEC$11,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.