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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Bankers Life and Casualty CompanyCNO Financialinsurance violation2010OR-FIN$25,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2011OR-FIN$5,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2012OR-FIN$14,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2014OR-FIN$115,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2004PA-INS$5,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2013VT-FIN$600,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2012MULTI-FIN$4,000,000
BANKERS LIFE AND CASUALTY COMPANYCNO Financialinsurance violation2022MO-INS$38,500
Bankers Life and Casualty Company and BLC Financial Services, Inc.CNO Financialinvestor protection violation2012MULTI-FIN$10,641,000
Bankers Standard Insurance Co. et al.Chubb Limitedinsurance violation2019DE-INS$16,000
Bankers Standard Insurance CompanyChubb Limitedinsurance violation2015WA-INS$25,000
Bankers Standard Insurance Company et al.Chubb Limitedinsurance violation2019WA-INS$25,000
Banner Life Insurance Co.Legal & General Group PLCinsurance violation2011MD-INS$8,300
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2002MA-INS$10,900
BANNER LIFE INSURANCE COMPANYLegal & General Group PLCinsurance violation2007VA-INS$5,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2019WA-INS$10,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2022NY-DFS$3,500,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2017CA-DFPI$500,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2015KY-FIN$25,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016MI-FIN$146,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016TX-FIN$23,608
BarclaysBarclaysprice-fixing or anti-competitive practices2015CFTC$400,000,000
BarclaysBarclaysprice-fixing or anti-competitive practices2015CFTC$115,000,000
BARCLAYS BANK PLCBarclaysprice-fixing or anti-competitive practices2015FED$342,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2012DOJ_CRIMINAL$160,000,000
Barclays Bank PLCBarclayseconomic sanction violation2010DOJ_CRIMINAL$298,000,000
Barclays Bank PLCBarclaystoxic securities abuses2014FHFA$280,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2017FERC$105,000,000
Barclays Bank PLCBarclayseconomic sanction violation2016OFAC$2,485,890
Barclays Bank PLCBarclaysinvestor protection violation2016CFTC$560,000
Barclays Bank PLCBarclayseconomic sanction violation2004OFAC$14,970
Barclays Bank PLCBarclayseconomic sanction violation2003OFAC$10,107
Barclays Bank PLCBarclaysinsider trading2007SEC$10,943,561
Barclays Bank PLCBarclaysdata submission deficiencies2016CFTC$500,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2016MULTI-AG$100,000,000
Barclays Bank PLCBarclaystoxic securities abuses2013MA-AG$36,100,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$485,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$150,000,000
Barclays Bank PLCBarclaysworkplace whistleblower retaliation2018NY-DFS$15,000,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.