Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$2,250,000
NEOVIA LOGISTICSGoldman Sachsaviation safety violation2016FAA$35,000
Invesco Trust CompanyInvescobenefit plan administrator violation2016EBSA$10,270,000
Farmers Insurance ExchangeFarmers Insurance Exchangeemployment discrimination2016private lawsuit-federal$6,140,000
Massachusetts Mutual Life Insurance Co.Massachusetts Mutual Life Insurancebenefit plan administrator violation2016private lawsuit-federal$30,900,000
State Street CorporationState Street Corp.benefit plan administrator violation2016private lawsuit-federal$60,000,000
Fifth Third BancorpFifth Third Bancorpbenefit plan administrator violation2016private lawsuit-federal$6,000,000
Transamerica CorporationAegonbenefit plan administrator violation2016private lawsuit-federal$3,800,000
Wells Fargo BankWells Fargoemployment screening violation2016private lawsuit-federal$12,000,000
Bank of AmericaBank of Americafraud2016DC-AG$13,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2016MULTI-AG$100,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2016NY-AG$35,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2016VA-AG$9,000,000
CashCall and Western SkyCashCall Inc.consumer protection violation2016NC-AG$9,000,000
CashCall, Inc.CashCall Inc.consumer protection violation2016MN-AG$11,700,000
CashCall, Inc., WS Funding, LLC, and Delbert Services CorporationCashCall Inc.consumer protection violation2016CO-AG$7,384,005
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2016VA-AG$4,750,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americatoxic securities abuses2016VA-AG$19,500,000
Credit Suisse SecuritiesUBSinvestor protection violation2016NY-AG$30,000,000
Credit Suisse Securities (USA) LLCUBStoxic securities abuses2016VA-AG$1,200,000
Deutsche Bank Securities Inc.Deutsche Banktoxic securities abuses2016VA-AG$5,621,897
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2016NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,000,000
Ditech Financial, LLCDitech Holding Corporationconsumer protection violation2016MA-AG$1,400,000
Goldman SachsGoldman Sachstoxic securities abuses2016MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000
Goldman, Sachs & Co.Goldman Sachstoxic securities abuses2016VA-AG$2,900,000
Great American LifeMassachusetts Mutual Life Insuranceinsurance violation2016MULTI-AG$400,000
Hartford Fire and Casualty GroupHartford Financial Servicesinsurance violation2016MULTI-AG$2,100,000
Healthnow New YorkHighmark Inc.consumer protection violation2016NY-AG$60,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesbenefit plan administrator violation2016private lawsuit-federal$33,000,000
HSBCHSBCmortgage abuses2016MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $59,500,000
HSBCHSBCconsumer protection violation2016MA-AG$4,000,000
HSBC Securities (USA) Inc.HSBCtoxic securities abuses2016VA-AG$2,500,000
Insurance Company of the State of PennsylvaniaAmerican International GroupFalse Claims Act and related2016NV-AG$300,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016IL-AG$22,500,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016NY-AG$550,000,000
Morgan Stanley & Co. LLCMorgan Stanleytoxic securities abuses2016VA-AG$6,900,000
PayPal Inc.PayPal Holdingsprivacy violation2016TX-AG$175,000
QBE InsuranceQBE Insuranceconsumer protection violation2016MA-AG$375,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2016VA-AG$10,000,000
RBS Securities, Inc.NatWest Group PLCtoxic securities abuses2016CT-AG$120,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2016MULTI-AG$26,750,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2016MULTI-AG$277,000
State Street Bank and Trust Co.State Street Corp.investor protection violation2016MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000
UBS Securities LLCUBStoxic securities abuses2016VA-AG$850,000
UBS AGUBSprice-fixing or anti-competitive practices2016WV-AG$325,000
Wells FargoWells Fargoconsumer protection violation2016WV-AG$8,000,000
Wells Fargo BankWells Fargoprivacy violation2016CA-AG$8,500,000
Western Sky Financial LLC, CashCall, Inc., WS Funding, LLC and Delbert Services Corp.CashCall Inc.consumer protection violation2016IN-AG$1,000,000
Western Sky Financial, CashCall Inc. and WS FundingCashCall Inc.consumer protection violation2016AR-AG$750,000
Allstate Insurance Co.Allstateinsurance violation2016CA-MULTI$600,000
Liberty Mutual Group, Inc.Liberty Mutual Insuranceconsumer protection violation2016CA-MULTI$925,000
US BankU.S. Bancorphousing code violation2016CA-LACA$13,500,000
Wells FargoWells Fargoconsumer protection violation2016CA-LACA$50,000,000
Wells Fargo BankWells Fargowage and hour violation2016WHD$38,230
Franklin Templeton Distributors, Inc.Franklin ResourcesFamily and Medical Leave Act2016WHD$23,252
TMX Finance, LLCTMX Financewage and hour violation2016WHD$6,353
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2016AK-INS$10,000
IberiaBank Mortgage Co.First Horizon Nationalconsumer protection violation2016AR-SEC$50,000
PrimeLending, A PlainsCapital CompanyHilltop Holdingsconsumer protection violation2016CA-DFPI$1,619,523
SunTrust Mortgage, Inc.Truist Financialmortgage abuses2016CA-DFPI$50,000
Highmark BCBSD Inc.Highmark Inc.insurance violation2016DE-INS$383,000
21st Century Centennial Insurance Co.Zurich Insuranceinsurance violation2016DE-INS$27,500
Progressive Northern Insurance Co.Progressiveinsurance violation2016DE-INS$7,000
HomeSite Insurance Co.American Family Insuranceinsurance violation2016DE-INS$15,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2016DE-INS$55,500
United Services Automobile Association et al.USAAinsurance violation2016DE-INS$34,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2016DE-INS$487,000
State Farm Fire & Casualty Insurance Co. and State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2016DE-INS$28,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016FL-OFR$28,000
Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2016FL-OFR$22,435
CashCall, Inc., Western Sky Financial, LLC, WS Funding, LLCCashCall Inc.payday lending violation2016FL-OFR$500,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2016IN-SEC$905,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016IN-SEC$950,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2016KS-INS$20,000
American General Life Insurance Co.American International Groupinsurance violation2016KS-INS$15,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016KS-INS$20,000
LendingTree, LLCLendingTreeconsumer protection violation2016KY-FIN$25,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2016KY-FIN$6,000
Freedom Mortgage Corp.Freedom Mortgagemortgage abuses2016MA-BKG$2,000,000
Lincoln Life Assurance Company of BostonLincoln Nationalinsurance violation2016MD-INS$13,200
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2016MD-INS$18,000
Progressive Select Insurance Co.Progressiveinsurance violation2016MD-INS$18,000
Progressive Specialty Insurance Co.Progressiveinsurance violation2016MD-INS$22,500
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2016MD-INS$60,000
Genworth Life Insurance Co.Genworth Financialinsurance violation2016MD-INS$37,800
Allied Property And Casualty Insurance Co. et al.Nationwideinsurance violation2016MD-INS$20,000
Nationwide General Insurance Co.Nationwideinsurance violation2016MD-INS$15,000
Progressive Classic Insurance Co. et al.Progressiveinsurance violation2016MD-INS$17,500
Erie Insurance ExchangeErie Indemnityinsurance violation2016MD-INS$5,000
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2016MD-INS$7,500
Twin City Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2016MD-INS$10,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2016MD-INS$5,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2016MD-INS$10,000
Standard Fire Insurance Co. et al.Travelersinsurance violation2016MD-INS$7,500
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2016MD-INS$15,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MD-INS$38,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2016MD-INS$12,000
Selective Insurance Company of South Carolina et al.Selective Insurance Groupinsurance violation2016MD-INS$8,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016MI-FIN$146,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016MI-SEC$900,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2016MN-FIN$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.