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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
National City MortgagePNC Financial Serviceswage and hour violation2008private lawsuit-federal$27,500,000
National City Corporation d/b/a National City BankPNC Financial Serviceslabor relations violation2008NLRB$49,597
National City CorporationPNC Financial Serviceslabor relations violation2009NLRB$24,083
National City Corp.PNC Financial Servicesbenefit plan administrator violation2010private lawsuit-federal$43,000,000
National City Commercial Capital CorporationPNC Financial Servicesconsumer protection violation2006NY-AG$817,700
National City Commercial Capital Company LLCPNC Financial Servicesconsumer protection violation2008MULTI-AG$7,200,000
National City Bank and its successor PNC BankPNC Financial Servicesbanking violation2013CFPB$35,000,000
National City BankPNC Financial Serviceseconomic sanction violation2003OFAC$5,500
National City BankPNC Financial Servicesbanking violation2009OCC$34,265
National City BankPNC Financial Servicesbanking violation2003OCC$56,800
National Casualty CompanyNationwideinsurance violation2000MA-INS$6,500
National Casualty CompanyNationwideinsurance violation2016WA-INS$9,000
National Casualty CompanyNationwideinsurance violation2019WA-INS$20,000
NATIONAL CASUALTY COMPANYNationwideinsurance violation2021WA-INS$50,000
National Casualty CompanyNationwideinsurance violation2022RI-FIN$20,000
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, Inc.Nasdaq Inc.economic sanction violation2023OFAC$4,040,923
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.investor protection violation2013SEC$10,000,000
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 Omaha Insurance CompanyMutual of Omahainsurance violation2019WA-INS$12,000
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
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2007FL-OFR$13,000
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2018MD-INS$6,600
MUTUAL OF OMAHA INSURANCE CO.Mutual of Omahainsurance violation2002VA-INS$25,800
Mutual of Omaha BankFirst Citizens BancSharesbanking violation2013OCC$51,765
Mutual of Omaha BankFirst Citizens BancSharesbanking violation2019OCC$98,415
Mutual of OmahaMutual of Omahaconsumer protection violation2002NY-AG$10,000
Mutual of OmahaMutual of Omahaconsumer protection violation2012private lawsuit-federal$1,900,000
MUFG Union Bank, National AssociationU.S. Bancorpbanking violation2019OCC$109,667
MUFG Union Bank, National AssociationU.S. Bancorpbanking violation2023OCC$15,000,000
MUFG Securities Americas Inc.U.S. Bancorpinvestor protection violation2018SEC$1,400,000
MUFG Bank, Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
MUFG Bank, Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2023private lawsuit-federal$750,000
MUFG Bank, Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
MUFG BANK, LTD.U.S. Bancorpbanking violation2024CT-BKG$10,000
MUFG Bank Ltd.U.S. Bancorpbanking violation2019NY-DFS$33,000,000
MUFG Bank Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2020private lawsuit-federal$985,000
Mortgage Guaranty Insurance Corporation (MGIC)MGIC Investment Corp.mortgage abuses2012DOJ_RIGHTS$550,000
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2009KY-FIN$5,000
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2011MULTI-FIN$3,000,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2019SEC$225,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2018NH-BSR$983,284
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2015FINRA$650,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2013FINRA$1,188,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2016SEC$1,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019SEC$1,545,758
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2020SEC$5,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2014CT-SEC$5,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2017MA-SEC$1,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019MA-SEC$382,500
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2016MS-SEC$4,743,815
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2018RI-FIN$175,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019FINRA$280,000
Morgan Stanley Smith Barney LLCMorgan Stanleyanti-money-laundering deficiencies2018FINRA$10,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2017FINRA$13,030,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2014FINRA$5,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2022SEC$35,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyprivacy violation2023MULTI-AG$6,500,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2023ME-SEC$5,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2024FINRA$1,600,000
Morgan Stanley Smith Barney FA Notes Holdings LLCMorgan Stanleyconsumer protection violation2020CA-DFPI$1,000,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2014CFTC$280,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2014CFTC$490,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2012CFTC$200,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2017SEC$13,000,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2017SEC$2,963,735
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2017SEC$8,000,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2018SEC$3,600,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2012NH-BSR$35,000
Morgan Stanley Mortgage Capital HoldingsMorgan Stanleytoxic securities abuses2011NV-AG$28,200,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2015SEC$8,800,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2011SEC$3,300,000
Morgan Stanley DW, Inc.Morgan Stanleyinvestor protection violation2005FINRA$6,100,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003SEC$50,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006NY-AG$1,040,964
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006ID-SEC$415,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2005NH-BSR$435,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004WA-FIN$325,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2007FINRA$6,100,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006FINRA$100,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$2,200,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$250,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$38,312
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003FINRA$2,000,000
Morgan Stanley DW IncMorgan Stanleyinvestor protection violation2004FINRA$336,510
Morgan Stanley DWMorgan Stanleyinvestor protection violation2005DE-AG$700,000
Morgan Stanley D.W., Inc.Morgan Stanleyinvestor protection violation2004KY-FIN$100,000
Morgan Stanley Capital Services LLCMorgan Stanleyinvestor protection violation2020CFTC$5,000,000
Morgan Stanley Capital Group, Inc.Morgan Stanleyair pollution violation2017EPA$1,119,000
Morgan Stanley Capital Group, Inc.Morgan Stanleyair pollution violation2002EPA$7,500
Morgan Stanley Capital Group Inc.Morgan Stanleyconsumer protection violation2009FL-AG$2,275,000
Morgan Stanley Capital Group Inc.Morgan Stanleyinvestor protection violation2019CFTC$1,500,000
Morgan Stanley Capital Group Inc.Morgan Stanleyair pollution violation2009EPA$405,000
Morgan Stanley Capital GroupMorgan Stanleyinvestor protection violation2014CFTC$200,000
Morgan Stanley Capital GroupMorgan Stanleydata submission deficiencies2010CFTC$14,000,000
Morgan Stanley Capital GroupMorgan Stanleyutility service violation2014TX-PUC$18,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.