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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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Life Insurance Company Of The SouthwestNational Life Groupinsurance violation2014WA-INS$17,500
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2020VA-INS$6,600
National Australia Bank Ltd.National Australia Bankeconomic sanction violation2007OFAC$100,000
National Australia Bank LimitedNational Australia Bankprice-fixing or anti-competitive practices2022private lawsuit-federal$27,000,000
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.investor protection violation2013SEC$10,000,000
Brut, LLCNasdaq Inc.investor protection violation2003SEC$45,000
BRUT LLCNasdaq Inc.investor protection violation2006FINRA$2,200,000
Nasdaq, Inc.Nasdaq Inc.economic sanction violation2023OFAC$4,040,923
Mutual of OmahaMutual of Omahaconsumer protection violation2002NY-AG$10,000
Mutual of Omaha Insurance Co.Mutual of Omahakickbacks and bribery2008CT-AG$1,700,000
Mutual of Omaha Insurance Co.Mutual of Omahaconsumer protection violation2019MA-AG$25,000
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2019CT-INS$60,500
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2018DE-INS$17,000
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2007FL-OFR$13,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2011MD-INS$5,500
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2018MD-INS$6,600
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2000ME-INS$6,000
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2005OR-FIN$25,000
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2011OR-FIN$5,000
MUTUAL OF OMAHA INSURANCE CO.Mutual of Omahainsurance violation2002VA-INS$25,800
UNITED OF OMAHA LIFE INSURANCEMutual of Omahainsurance violation2012VA-INS$7,500
United Of Omaha Life Insurance CompanyMutual of Omahainsurance violation2015WA-INS$5,000
Mutual Of Omaha Insurance CompanyMutual of Omahainsurance violation2019WA-INS$12,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2020PA-BKG$7,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2022MA-BKG$25,000
Mutual of OmahaMutual of Omahaconsumer protection violation2012private lawsuit-federal$1,900,000
American Alternative Insurance Corp.Munich Reinsurance violation2019CT-INS$49,500
American Alternative Insurance Corp.Munich Reinsurance violation2003FL-OFR$21,500
American Modern Home Insurance Co.Munich Reinsurance violation2010MD-INS$5,000
American Modern Insurance Group, Inc. et al.Munich Reinsurance violation2016MN-FIN$1,000,000
American Modern Home Insurance Co.Munich Reinsurance violation2015MO-INS$10,000
American Alternative Insurance Corp.Munich Reinsurance violation2019MO-INS$85,000
American Modern Home Insurance CompanyMunich Reinsurance violation2012NC-INS$1,860,000
American Family Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$25,000
American Modern Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$150,000
American Family Home Insurance Co.Munich Reinsurance violation2011SC-INS$9,800
American Alternative Insurance CorporationMunich Reinsurance violation2017TX-INS$160,000
American Alternative Insurance Corporation et al.Munich Reinsurance violation2013WA-INS$10,000
American Modern Home Insurance CompanyMunich Reinsurance violation2016WA-INS$5,000
American Modern Home Insurance CompanyMunich Reinsurance violation2017WA-INS$5,000
American Modern Home Insurance CompanyMunich Reinsurance violation2017MULTI-FIN$255,000
American Modern Insurance Group Inc.Munich Reinsurance violation2015MULTI-FIN$6,000,000
Mitsui Sumitomo Insurance Company of AmericaMS&AD Insuranceinsurance violation2014TX-INS$5,977
Mitsui Sumitomo Insurance Company of AmericaMS&AD Insuranceinsurance violation2022TX-INS$23,000
Mitsui Sumitomo Insurance Company of AmericaMS&AD Insuranceinsurance violation2022TX-INS$19,500
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2017CFPB$1,750,000
Seterus, Inc.Mr. Cooper Grouplabor relations violation2013NLRB$72,162
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2018MD-AG$760,000
Nationstar Mortgage LLC dba Mr. CooperMr. Cooper Groupmortgage abuses2018MA-AG$500,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2008AZ-DIFI$12,500
Nationstar Mortgage, LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2017CA-DFPI$9,118,784
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2008KY-FIN$105,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2010KY-FIN$19,500
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2016KY-FIN$6,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2011MA-BKG$25,000
Seterus, Inc.Mr. Cooper Groupconsumer protection violation2014NH-BKG$10,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2018NY-DFS$17,000,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2017RI-FIN$9,200
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2016WA-FIN$59,678
Seterus Inc.Mr. Cooper Groupmortgage abuses2019MULTI-FIN$350,000
Nationstar Mortgage, LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2020CFPB$74,500,000
Nationstar Mortgage, LLCMr. Cooper Groupmortgage abuses2020DOJ_UTP$40,000,000
Nationstar Mortgage dba Mr. CooperMr. Cooper Groupconsumer protection violation2020MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $86,300,000
Natlonstar Mortgage LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2022MN-FIN$10,157
Nationstar Mortgage, LLCMr. Cooper Groupconsumer protection violation2015private lawsuit-federal$76,000,000
Seterus Inc.Mr. Cooper Groupconsumer protection violation2021private lawsuit-federal$7,000,000
Morgan StanleyMorgan Stanleyprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$4,800,000
Morgan Stanley & Co. LLCMorgan Stanleytoxic securities abuses2016FDIC$62,950,000
Morgan StanleyMorgan Stanleymortgage abuses2013FED$227,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016DOJ$2,600,000,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2015SEC$8,800,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2014SEC$4,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2014SEC$275,000,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2011SEC$3,300,000
Morgan StanleyMorgan Stanleytoxic securities abuses2014FHFA$1,250,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2015NCUA$225,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2015CFTC$300,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2014CFTC$280,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2014CFTC$490,000
Morgan Stanley Capital GroupMorgan Stanleyinvestor protection violation2014CFTC$200,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2012CFTC$200,000
Morgan StanleyMorgan Stanleyinvestor protection violation2012CFTC$5,000,000
Morgan Stanley Capital GroupMorgan Stanleydata submission deficiencies2010CFTC$14,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2016SEC$1,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2015SEC$500,000
E*TRADE SecuritiesMorgan Stanleyinvestor protection violation2014SEC$2,500,000
Morgan StanleyMorgan Stanleyinvestor protection violation2009SEC$500,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2007SEC$7,957,200
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2006SEC$10,000,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006SEC$1,500,000
Morgan Stanley & Co.Morgan Stanleydata submission deficiencies2006SEC$10,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2005SEC$40,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003SEC$50,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2003SEC$125,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleydata submission deficiencies2002SEC$1,650,000
Salomon Smith Barney Inc.Morgan Stanleydata submission deficiencies2002SEC$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2000SEC$2,500,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2000SEC$45,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2016SEC$7,500,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2017SEC$13,000,000
E*TRADE Securities LLCMorgan Stanleyinvestor protection violation2017CFTC$280,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.