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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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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CompanyCurrent ParentPrimary Offense Type sort iconYearAgencyPenalty Amount
Fidelity National Financial, Inc.Fidelity National Financialkickbacks and bribery2011HUD$4,500,000
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2007HUD$5,000,000
Fidelity National Title Insurance CompanyFidelity National Financialkickbacks and bribery2007HUD$68,635
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2005HUD$680,000
Metropolitan Life Insurance CompanyMetLifekickbacks and bribery2010USAO$13,500,000
Liberty Mutual Insurance Co.Liberty Mutual Insurancekickbacks and bribery2010CT-AG$2,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennankickbacks and bribery2009CT-AG$2,400,000
Mutual of Omaha Insurance Co.Mutual of Omahakickbacks and bribery2008CT-AG$1,700,000
Principal Financial GroupPrincipal Financialkickbacks and bribery2007CT-AG$5,000,000
Unum GroupUnumkickbacks and bribery2008USAO$5,550,000
Metropolitan Life InsuranceMetLifekickbacks and bribery2008CA-MULTI$500,000
Prudential Insurance Co.Prudential Financialkickbacks and bribery2008CA-MULTI$350,000
Unum Insurance Co.Unumkickbacks and bribery2008CA-MULTI$250,000
VITOL, S.A.Vitolkickbacks and bribery2007NY-MANDA$17,500,000
Freedom Mortgage CorporationFreedom Mortgagekickbacks and bribery2023CFPB$1,750,000
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$35,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2016SEC$54,300,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2016SEC$15,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016SEC$4,000,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2015SEC$8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2015SEC$267,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinainvestor protection violation2015SEC$4,200,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSinvestor protection violation2015SEC$17,500,000
UBS AGUBSinvestor protection violation2015SEC$19,500,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2015SEC$15,000,000
Citigroup Global MarketsCitigroupinvestor protection violation2015SEC$15,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupinvestor protection violation2015SEC$180,000,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2015SEC$20,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2015SEC$7,000,000
Merrill LynchBank of Americainvestor protection violation2015SEC$10,900,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2015SEC$55,000,000
BlackRock Advisors LLCBlackRockinvestor protection violation2015SEC$12,000,000
UBS Securities LLCUBSinvestor protection violation2015SEC$14,400,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2014SEC$4,000,000
HSBC Private Bank (Suisse)HSBCinvestor protection violation2014SEC$12,500,000
Bank of America CorporationBank of Americainvestor protection violation2014SEC$7,650,000
Barclays Capital Inc.Barclaysinvestor protection violation2014SEC$15,000,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2014SEC$5,000,000
Credit Suisse Group AGUBSinvestor protection violation2014SEC$196,000,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinvestor protection violation2012SEC$1,625,000
Mizuho Financial GroupMizuho Financialinvestor protection violation2012SEC$127,500,000
OppenheimerFunds Inc.Invescoinvestor protection violation2012SEC$35,000,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2012SEC$26,600,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2012SEC$22,000,000
UBS Global Asset ManagementUBSinvestor protection violation2012SEC$300,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2011SEC$3,300,000
UBS Securities LLCUBSinvestor protection violation2011SEC$8,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2011SEC$30,400,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2011SEC$850,000
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2011SEC$10,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011SEC$118,000,000
Bank of AmericaBank of Americainvestor protection violation2010SEC$150,000,000
Credit SuisseUBSinvestor protection violation2016CFTC$665,000
BNP Paribas SecuritiesBNP Paribasinvestor protection violation2015CFTC$140,000
Morgan StanleyMorgan Stanleyinvestor protection violation2015CFTC$300,000
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2014CFTC$35,000,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2014CFTC$280,000
Merrill LynchBank of Americainvestor protection violation2014CFTC$1,200,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2014CFTC$490,000
Morgan Stanley Capital GroupMorgan Stanleyinvestor protection violation2014CFTC$200,000
JPMorgan ChaseJPMorgan Chaseinvestor protection violation2013CFTC$100,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2013CFTC$1,000,000
Goldman SachsGoldman Sachsinvestor protection violation2012CFTC$1,500,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2012CFTC$200,000
JPMorgan Chase BankJPMorgan Chaseinvestor protection violation2012CFTC$600,000
CitigroupCitigroupinvestor protection violation2012CFTC$525,000
Morgan StanleyMorgan Stanleyinvestor protection violation2012CFTC$5,000,000
Goldman Sachs Execution & Clearing LPGoldman Sachsinvestor protection violation2012CFTC$7,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2012CFTC$140,000
BlackRock Institutional Trust Company NABlackRockinvestor protection violation2012CFTC$250,000
Merrill LynchBank of Americainvestor protection violation2011CFTC$350,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2016SEC$382,400,000
Merrill LynchBank of Americainvestor protection violation2016SEC$10,000,000
Merrill LynchBank of Americainvestor protection violation2016SEC$415,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2016SEC$1,000,000
J.P. Morgan Investment Management Inc.JPMorgan Chaseinvestor protection violation2015SEC$1,084,210
Omega Advisors, Inc.Omega Advisorsinvestor protection violation2015SEC$134,026
Guggenheim Partners Investment Management LLCGuggenheim Partnersinvestor protection violation2015SEC$20,000,000
BMO Capital Markets GKST Inc.Piper Sandlerinvestor protection violation2015SEC$250,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2015SEC$120,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015SEC$500,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2015SEC$500,000
Hutchinson, Shockey, Erley & Co.Huntington Bancsharesinvestor protection violation2015SEC$220,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2015SEC$500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2015SEC$500,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2015SEC$500,000
The Northern Trust CompanyNorthern Trustinvestor protection violation2015SEC$60,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2015SEC$400,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2015SEC$500,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015SEC$500,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2015SEC$500,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015SEC$500,000
Nationwide Life Insurance CompanyNationwideinvestor protection violation2015SEC$8,000,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015SEC$15,000,000
Wedbush SecuritiesWedbush Securitiesinvestor protection violation2014SEC$2,440,000
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2014SEC$61,800
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2014SEC$56,000
Investment Professionals Inc.Ameriprise Financialinvestor protection violation2014SEC$67,800
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014SEC$54,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2014SEC$61,200
Stifel Nicolaus & Co.Stifel Financialinvestor protection violation2014SEC$60,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.