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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 TypeYearAgency sort iconPenalty Amount
Waddell & Reed, Inc.Macquarieinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Wells FargoWells Fargoconsumer protection violation2004NY-AG$2,900,000
Wells Fargo & CompanyWells Fargoinvestor protection violation2018NY-AG$65,000,000
Wells Fargo Financial BankWells Fargoconsumer protection violation2003NY-AG$33,500
Western Sky Financial, LLCCashCall Inc.consumer protection violation2014NY-AG$1,500,000
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2005NY-AG$50,000,000
Zurich American Insurance Company et al.Zurich InsuranceFalse Claims Act and related2010NY-AG$37,500,000
BGC Financial LPBGC Partnersprice-fixing or anti-competitive practices2019NY-AG$7,500,000
GFI Securities LLCBGC Partnersprice-fixing or anti-competitive practices2019NY-AG$5,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006NY-AG$1,040,964
Old Republic National Title Insurance CompanyOld Republic Internationalwage and hour violation2021NY-AG$1,000,000
TIAA-CREF Individual & Institutional Services, LLCTIAAbenefit plan administrator violation2021NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000
Stewart Title Guaranty CorporationStewart Information Servicesprice-fixing or anti-competitive practices2022NY-AG$2,500,000
First American Financial CorporationFirst American Financialprice-fixing or anti-competitive practices2023NY-AG$4,500,000
Ameritas Investment Co.Ameritas Mutual Holding Companyinvestor protection violation2022NV-SEC$15,000
Western Sky Financial, LLC et al.CashCall Inc.consumer protection violation2013NV-BKG$50,000
DB Structured Products, Inc.Deutsche Banktoxic securities abuses2013NV-AG$11,500,000
Insurance Company of the State of PennsylvaniaAmerican International GroupFalse Claims Act and related2016NV-AG$300,000
Morgan Stanley Mortgage Capital HoldingsMorgan Stanleytoxic securities abuses2011NV-AG$28,200,000
RBS Financial ProductsNatWest Group PLCtoxic securities abuses2012NV-AG$42,000,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2015NM-SEC$215,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NM-SEC$6,500
El Paso Electric CompanyJPMorgan Chaseutility administrative violation2010NM-PRC$5,000
Durango Midstream, LLCMorgan Stanleyenvironmental violation2023NM-ENV$34,320
Mastercard Inc.MasterCardconsumer protection violation2018NM-AG$1,125,000
OppenheimerFundsInvescoinvestor protection violation2010NM-AG$67,300,000
St. Paul Travelers Companies Inc.Travelersinvestor protection violation2005NM-AG$67,500,000
Visa Inc.Visaconsumer protection violation2018NM-AG$2,270,000
Barclays Capital Inc.Barclaystoxic securities abuses2021NM-AG$4,642,857
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2021NM-AG$4,642,857
Goldman Sachs & Co. LLCGoldman Sachstoxic securities abuses2021NM-AG$4,642,857
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americatoxic securities abuses2021NM-AG$4,642,857
NatWest Markets Securities Inc.NatWest Group PLCtoxic securities abuses2021NM-AG$4,642,857
Washington Mutual Mortgage Securities Corp.JPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
TIAA-CREFTIAAlabor relations violation2016NLRB$304,216
Grandbridge Real Estate Capital, LLCTruist Financiallabor relations violation2015NLRB$70,000
Seterus, Inc.Mr. Cooper Grouplabor relations violation2013NLRB$72,162
Bank of America, National AssociationBank of Americalabor relations violation2013NLRB$18,634
IFCO SYSTEMSTriton Investments Adviserslabor relations violation2013NLRB$91,866
El Paso Electric CompanyJPMorgan Chaselabor relations violation2012NLRB$79,692
UBS Inc.UBSlabor relations violation2010NLRB$26,351
National City CorporationPNC Financial Serviceslabor relations violation2009NLRB$24,083
El Paso Electric CompanyJPMorgan Chaselabor relations violation2009NLRB$11,500
National City Corporation d/b/a National City BankPNC Financial Serviceslabor relations violation2008NLRB$49,597
PNC BankPNC Financial Serviceslabor relations violation2006NLRB$40,000
TD BanknorthToronto-Dominion Banklabor relations violation2006NLRB$5,000
J.P. Morgan Chase & Co. and Forum Temporary ServicesJPMorgan Chaselabor relations violation2006NLRB$60,760
Mercury Air Centers, Inc.Macquarielabor relations violation2006NLRB$40,000
USAA InsuranceUSAAlabor relations violation2005NLRB$125,361
Watson Wyatt & Co.Willis Towers Watsonlabor relations violation2005NLRB$91,000
CINCINNATI BELL TELEPHONE A DIVISION OF BROADWINGMacquarielabor relations violation2005NLRB$5,000
Wheelabrator Westchester, L.P.Macquarielabor relations violation2005NLRB$13,000
CINCINNATI BELLMacquarielabor relations violation2004NLRB$39,200
Piccari Press, Inc.Chatham Asset Managementlabor relations violation2003NLRB$10,000
MetLife Financial ServicesMetLifelabor relations violation2002NLRB$18,500
CNG FINANCIAL CORPORATIONCNG Financiallabor relations violation2001NLRB$6,000
First Union BankWells Fargolabor relations violation2000NLRB$9,116
The Prudential Insurance Company of AmericaPrudential Financiallabor relations violation2018NLRB$17,842
Academy Mortgage CorporationAcademy Mortgage Corp.labor relations violation2018NLRB$6,061
NeoviaGoldman Sachslabor relations violation2023NLRB$7,000
The McClatchy CompanyChatham Asset Managementlabor relations violation2022NLRB$15,482
BUCKEYE PIPE LINE COIFM Investorsair pollution violation2021NJ-ENV$16,000
WHEELABRATOR GLOUCESTER COMPANY L PMacquarieair pollution violation2017NJ-ENV$6,000
WHEELABRATOR GLOUCESTER COMPANY L PMacquarieair pollution violation2016NJ-ENV$12,900
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsair pollution violation2015NJ-ENV$13,000
BUCKEYE PIPE LINE CO LINDEN STATIONIFM Investorsair pollution violation2014NJ-ENV$5,000
BUCKEYE RARITAN BAY TERMINALIFM Investorsair pollution violation2013NJ-ENV$10,000
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsair pollution violation2012NJ-ENV$231,875
BUCKEYE PENNSAUKEN TERMINAL LLCIFM Investorsair pollution violation2012NJ-ENV$5,250
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2012NJ-ENV$425,000
CITIGROUPCitigroupair pollution violation2010NJ-ENV$6,000
BUCKEYE PORT READING TERMINALIFM Investorswater pollution violation2009NJ-ENV$7,000
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsair pollution violation2009NJ-ENV$9,550
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2009NJ-ENV$9,700
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2009NJ-ENV$8,200
BUCKEYE PIPELINE CO LLPIFM Investorsair pollution violation2008NJ-ENV$10,000
BROADRIDGE FINANCIAL SOLUTIONS INCBroadridge Financial Solutionsair pollution violation2008NJ-ENV$6,500
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsair pollution violation2007NJ-ENV$5,700
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2007NJ-ENV$11,760
BUCKEYE PENNSAUKEN TERMINAL LLCIFM Investorsair pollution violation2006NJ-ENV$28,200
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2006NJ-ENV$20,005
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2005NJ-ENV$103,600
BUCKEYE PIPELINE CO LLPIFM Investorsair pollution violation2005NJ-ENV$31,500
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieair pollution violation2001NJ-ENV$10,400
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieair pollution violation2001NJ-ENV$11,200
BUCKEYE PIPELINE CO LLPIFM Investorsair pollution violation2000NJ-ENV$14,000
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieair pollution violation2000NJ-ENV$11,600
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsenvironmental violation2023NJ-ENV$48,640
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2001NJ-DBI$25,100,000
USAA Casualty Insurance and United Services Auto AssociationUSAAinsurance violation2003NJ-DBI$6,200,000
Horizon Healthcare of New Jersey Inc.Horizon Healthcare Servicesinsurance violation2003NJ-DBI$200,000
Allstate Life Insurance Co.Allstateinsurance violation2004NJ-DBI$15,000
AON Risk Services IncAoninsurance violation2004NJ-DBI$10,000
Hanover Insurance Co.Hanover Insuranceinsurance violation2004NJ-DBI$40,000
Selective Insurance Co. of AmericaSelective Insurance Groupinsurance violation2004NJ-DBI$25,000
State Farm Indemnity Co.State Farm Insuranceinsurance violation2004NJ-DBI$35,000
American General Financial Services Inc.OneMain Holdingsinsurance violation2004NJ-DBI$1,200,000
American International Specialty Lines Insurance Co.American International Groupinsurance violation2005NJ-DBI$13,000
American Security Insurance Co. et al.Assurantinsurance violation2005NJ-DBI$1,775,000
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2005NJ-DBI$72,256
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.