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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $385,467,775,190
Number of Records: 7,525
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$87,248,751,230324
JPMorgan Chase$39,322,669,157272
UBS$31,059,299,125178
Wells Fargo$27,517,928,133261
Citigroup$26,945,611,792181
Deutsche Bank$20,006,467,56398
Goldman Sachs$17,729,327,552109
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,542,431,900198
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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Company sort icon . Current ParentPrimary Offense TypeYearAgencyPenalty Amount
Barclays Bank PLCBarclaysinvestor protection violation2022CFTC$75,000,000
Barclays Bank PLCBarclaysinvestor protection violation2022SEC$361,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2020private lawsuit-federal$7,100,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2020private lawsuit-federal$19,975,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$120,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$384,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$30,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2022private lawsuit-federal$12,500,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$29,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2023private lawsuit-federal$17,750,000
Barclays CapitalBarclaysinvestor protection violation2017SEC$97,037,659
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$35,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2014SEC$15,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2015NCUA$325,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2016CFTC$800,000
Barclays Capital Inc.Barclayswage and hour violation2009WHD$9,707
Barclays Capital Inc.Barclaysinvestor protection violation2017SEC$12,710,040
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$500,000
Barclays Capital Inc.Barclaysinvestor protection violation2016NY-AG$35,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2016VA-AG$9,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2016FINRA$1,300,000
Barclays Capital Inc.Barclaysinvestor protection violation2014FINRA$5,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2014FINRA$1,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2013FINRA$3,750,000
Barclays Capital Inc.Barclaysinvestor protection violation2011FINRA$3,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2021NM-AG$4,642,857
Barclays Capital Inc.Barclaysinvestor protection violation2022SEC$125,000,000
Barclays Capital Inc.Barclaysprice-fixing or anti-competitive practices2020private lawsuit-federal$87,000,000
Barclays Capital, Inc.Barclaystoxic securities abuses2018USAO$2,000,000,000
Barclays Capital, Inc.Barclaysinvestor protection violation2015FINRA$13,750,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$710,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2012CFTC$200,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2018DOJ_CRIMINAL$12,896,011
Barclays PLCBarclaysForeign Corrupt Practices Act2019SEC$6,308,726
Barclays plcBarclayseconomic sanction violation2010NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $149,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$94,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2021private lawsuit-federal$5,700,000
BarclaysPLCBarclaysprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
BB&TTruist Financialeconomic sanction violation2007OFAC$10,000
BB&TTruist Financialwage and hour violation2011WHD$43,662
BB&TTruist Financialwage and hour violation2018private lawsuit-federal$72,336
BB&T CorporationTruist Financialbenefit plan administrator violation2019private lawsuit-federal$24,000,000
BB&T Equipment Finance LLCTruist Financialconsumer protection violation2021CA-DFPI$75,000
BB&T Leasing CompanyTruist Financialconsumer protection violation2005NY-AG$159,097
BB&T Leasing CorporationTruist Financialconsumer protection violation2006MULTI-AG$6,000,000
BB&T SecuritiesTruist Financialinvestor protection violation2019SEC$5,709,753
BB&T Securities, LLCTruist Financialinvestor protection violation2016SEC$200,000
BB&T Securities, LLCTruist Financialinvestor protection violation2015SEC$200,000
BB&T Securities, LLCTruist Financialinvestor protection violation2018SEC$100,000
BB&T Securities, LLCTruist Financialinvestor protection violation2019SEC$376,059
BBVA CompassBanco Bilbao Vizcaya Argentariaconsumer protection violation2013private lawsuit-federal$11,500,000
BBVA Suiza S.A.Banco Bilbao Vizcaya Argentariatax violations2015DOJ_TAX$10,390,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2016NY-DFS$100,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2017MULTI-FIN$1,000,000
Bear StearnsJPMorgan Chasewage and hour violation2010private lawsuit-federal$675,000
Bear StearnsJPMorgan Chaseinvestor protection violation2012MI-AG$275,000,000
Bear Stearns & Co. LLCJPMorgan Chaseinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Bear Stearns Companies Inc.JPMorgan Chasewage and hour violation2003WHD$358,974
Bear Stearns Companies, Inc.JPMorgan Chasebenefit plan administrator violation2012private lawsuit-federal$10,000,000
Bear Stearns Companies, LLCJPMorgan Chasemortgage abuses2008FTC$28,000,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor 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. $25,000,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2004FINRA$4,950,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2004FINRA$280,469
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$250,000,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2005IL-SEC$10,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2008FINRA$150,000
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2016TX-INS$8,000
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2018WA-INS$10,000
Berkshire Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2019CT-INS$7,500
Berthel Fisher & CompanyBerthel Fisherinvestor protection violation2003MN-FIN$10,000
Berthel Fisher & Company Financial Services, IncBerthel Fisherinvestor protection violation2019NH-BSR$415,407
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2007MO-SEC$230,469
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2011MO-SEC$5,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2013MO-SEC$80,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2014FINRA$775,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2021SEC$389,425
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2003ND-SEC$12,303
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2004ND-SEC$20,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2006ND-SEC$8,000
Berthel, Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2007NE-DBF$5,000
BGC Financial LPBGC Partnersprice-fixing or anti-competitive practices2019NY-AG$7,500,000
BGC Financial, L.P.BGC Partnersinvestor protection violation2019CFTC$3,000,000
BGC Financial, LPBGC Partnersinvestor protection violation2019CFTC$15,000,000
BGC Partners, Inc.BGC Partnersinvestor protection violation2020SEC$1,400,000
Big Cajun 2 - Louisiana Generating LLCMacquarieenvironmental violation2005EPA$19,250
Binance Holdings LimitedBinance Holdingsanti-money-laundering deficiencies2023DOJ_NATSEC$4,316,126,163
Binance Holdings Limited et al.Binance Holdingsinvestor protection violation2023CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000
Binance Holdings Limited,Binance Holdingsanti-money-laundering deficiencies2023FINCEN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,400,000,000
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
BlackRock Advisors LLCBlackRockinvestor protection violation2015SEC$12,000,000
BlackRock Advisors, LLCBlackRockinvestor protection violation2023SEC$2,500,000
Blackrock Fund AdvisorsBlackRockinvestor protection violation2017SEC$1,500,000
BlackRock Inc.BlackRockinvestor protection violation2017SEC$340,000
BlackRock Institutional Trust CompanyBlackRockinvestor protection violation2014SEC$1,675,350
BlackRock Institutional Trust Company NABlackRockinvestor protection violation2012CFTC$250,000
BlackRock Institutional Trust Company, N.A.BlackRockbenefit plan administrator violation2021private lawsuit-federal$9,650,000
BMO Capital Markets CorpBank of Montrealinvestor protection violation2023SEC$25,000,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2019SEC$1,950,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.