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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 ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Allianz Life Insurance Company of North AmericaAllianzinvestor protection violation2007MN-AG$500,000
Guardian Life Insurance Company of AmericaGuardian Life Insurancediscriminatory practices (non-employment)2009NY-AG$500,000
Merrill LynchBank of Americainvestor protection violation2002DE-AG$500,000
Midland Funding, LLCEncore Capital Groupconsumer protection violation2012MN-AG$500,000
Nationstar Mortgage LLC dba Mr. CooperMr. Cooper Groupmortgage abuses2018MA-AG$500,000
Santander Bank, N.A.Banco Santanderconsumer protection violation2015NY-AG$500,000
Metropolitan Life InsuranceMetLifekickbacks and bribery2008CA-MULTI$500,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2009CA-INS$500,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2017CA-DFPI$500,000
ACE Cash Express, Inc. dba ACE America's Cash ExpressACE Cash Expressconsumer protection violation2002FL-OFR$500,000
CashCall, Inc., Western Sky Financial, LLC, WS Funding, LLCCashCall Inc.payday lending violation2016FL-OFR$500,000
LPL Financial LLCLPL Financialinvestor protection violation2013MA-SEC$500,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2005ME-INS$500,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009ME-INS$500,000
First American Title Insurance Co.First American Financialinsurance violation2007MN-FIN$500,000
Merrill LynchBank of Americainvestor protection violation2002NH-BSR$500,000
Morgan StanleyMorgan Stanleyinvestor protection violation2004NH-BSR$500,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2010NJ-DBI$500,000
Oscar Garden State Insurance CorporationOscar Health Inc.insurance violation2018NJ-DBI$500,000
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2011TX-SEC$500,000
Insurance Company of North AmericaChubb Limitedinsurance violation2003WA-INS$500,000
Homesite Insurance GroupAmerican Family Insuranceinsurance violation2016MULTI-FIN$500,000
E-Trade Securities, LLCMorgan Stanleyinvestor protection violation2008FINRA$500,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2014FINRA$500,000
Charles Schwab & CompanyCharles Schwab Corp.investor protection violation2013FINRA$500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2012FINRA$500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2011FINRA$500,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$500,000
New England SecuritiesMetLifeinvestor protection violation2009FINRA$500,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2007FINRA$500,000
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2006FINRA$500,000
MetLife Securities, IncMetLifeinvestor protection violation2006FINRA$500,000
Southwest Securities Inc.Hilltop Holdingsinvestor protection violation2000FINRA$500,000
UBS AGUBSinvestor protection violation2021CFTC$500,000
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021MULTI-AG$500,000
LPL Financial LLCLPL Financialinvestor protection violation2021CT-SEC$500,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SEC$500,000
Transamerica Life Insurance Co.Aegoninsurance violation2022MN-FIN$500,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2017private lawsuit-federal$500,000
LPL Financial LLCLPL Financialinvestor protection violation2019AK-DBS$499,000
LPL Financial LLCLPL Financialinvestor protection violation2019MD-SEC$499,000
CIBC World Markets CorporationCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$496,598
Morgan Stanley & Co., Inc.Morgan Stanleyinvestor protection violation2000FINRA$495,000
OppenheimerFunds Distributor, Inc.Invescoinvestor protection violation2007CO-SEC$494,500
James B. Nutter & CompanyJames B. Nutter & Companymortgage abuses2012MULTI-FIN$492,050
Generali U.S. BranchAssicurazioni Generaliinsurance violation2017MULTI-FIN$492,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2014CFTC$490,000
First American Financial CorporationFirst American Financialprivacy violation2021SEC$487,616
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2016DE-INS$487,000
Jackson National Life Insurance CoJackson Financialinvestor protection violation2008CT-AG$484,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2008CT-INS$483,000
Spencer Press of MaineChatham Asset Managementemployment discrimination2004private lawsuit-federal$480,552
UBS Financial Services Inc.UBSinvestor protection violation2015SEC$480,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022NY-DFS$477,600
Dean Witter Reynolds Inc.Morgan Stanleyinvestor protection violation2000SEC$476,702
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015IN-SEC$475,000
MML Investors Services, Inc.Massachusetts Mutual Life Insuranceinvestor protection violation2007FINRA$473,000
American Family Mutual Insurance Co. and American Standard Insurance Co. of WisconsinAmerican Family Insuranceinsurance violation2015MO-INS$472,089
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2010SEC$470,147
TIAA - CREFTIAAwage and hour violation2006WHD$468,336
Privilege Underwriters Reciprocal ExchangeTokio Marineeconomic sanction violation2023OFAC$466,200
BUCKEYE PARTNERSIFM Investorsenvironmental violation2012EPA$463,745
Washington Mutual BankJPMorgan Chasewage and hour violation2011private lawsuit-federal$463,000
Arch Insurance CompanyArch Capitalconsumer protection violation2010MD-AG$460,000
Freddie MacFreddie Mac (Federal Home Loan Mortgage Corporation)environmental violation2023RI-AG$460,000
Merrill LynchBank of Americainvestor protection violation2009DE-AG$459,000
The Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2019NY-DFS$455,584
Citibank N.A.Citigroupbanking violation2017OCC$452,000
Societe GeneraleSociete Generaledata submission deficiencies2016CFTC$450,000
MetLifeMetLifewage and hour violation2013private lawsuit-federal$450,000
Wachovia Financial ServicesWells Fargowage and hour violation2010private lawsuit-federal$450,000
Gabelli Funds, LLCGamco Investors Inc.investor protection violation2009SEC$450,000
Smith Barney Fund Management LLCMorgan Stanleyinvestor protection violation2007SEC$450,000
AllianceBernstein, L.P.Equitable Holdingsinvestor protection violation2007SEC$450,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsinvestor protection violation2003SEC$450,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013NJ-AG$450,000
LPL Financial, LLCLPL Financialinvestor protection violation2018IN-SEC$450,000
Wells Fargo Clearing Services, LLCWells Fargoinvestor protection violation2019MA-SEC$450,000
John Alden Life Insurance CompanyAssurantinsurance violation2008NH-INS$450,000
Time Insurance CompanyHaven Holdingsinsurance violation2008NH-INS$450,000
Travelers Indemnity CompanyTravelersdiscriminatory practices (non-employment)2018private lawsuit-federal$450,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2017FINRA$450,000
Norinchukin BankNorinchukin Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$449,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2016MO-INS$444,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2006SEC$442,954
The Guardian Insurance & Annuity Company, Inc.Guardian Life Insuranceinsurance violation2019NY-DFS$442,589
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2023PHMSA$441,151
Fifth Third BankFifth Third Bancorpemployment discrimination2000OFCCP$440,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargoinvestor protection violation2016SEC$440,000
Keybanc Capital Markets Inc.KeyCorpinvestor protection violation2016SEC$440,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2005NH-BSR$435,000
ProEquities, IncDai-ichi Lifeinvestor protection violation2012MULTI-FIN$435,000
HSBC Finance CorporationHSBCconsumer protection violation2016DOJ_RIGHTS$434,500
SafecoLiberty Mutual Insuranceinsurance violation2009CT-INS$434,000
American Express National BankAmerican Expresseconomic sanction violation2022OFAC$430,500
The Insurance Company of the State of PennsylvaniaAmerican International Groupconsumer protection violation2015MA-AG$430,000
Pacific Life & Annuity CompanyPacific Lifeinsurance violation2020NY-DFS$425,533
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2005CA-INS$425,000
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2012NJ-ENV$425,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$425,000
KeyBanc Capital Markets, Inc.KeyCorpinvestor protection violation2009FINRA$425,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.