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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
Metropolitan Life Insurance Co.MetLifeinsurance violation2006MO-INS$12,162
Metropolitan Life Insurance Co.MetLifeinsurance violation2005WI-INS$5,000
Metropolitan Life Insurance Co.MetLifeinvestor protection violation2004FINRA$375,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2010private lawsuit-federal$50,000,000
Metropolitan Life InsuranceMetLifekickbacks and bribery2008CA-MULTI$500,000
METROPOLITAN LIFE INSURANCEMetLifeinsurance violation2010VA-INS$8,000
Metropolitan LifeMetLifeemployment discrimination2003private lawsuit-federal$10,000,000
Metropolitan LifeMetLifebenefit plan administrator violation2012private lawsuit-federal$350,000
Metropolitan Group Property and Casualty Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$30,000
Metropolitan Group Property & Casualty Insurance CompanyZurich Insuranceinsurance violation2022CT-INS$34,000
MetLife, Inc. et al.MetLifeinsurance violation2014MN-FIN$1,500,000
MetLife, Inc.MetLifewage and hour violation2013WHD$24,296
MetLife, Inc.MetLifeinvestor protection violation2019SEC$10,000,000
MetLife, Inc.MetLifeinvestor protection violation2018MA-SEC$1,000,000
MetLife, Inc.MetLifeinvestor protection violation2006FINRA$5,000,000
METLIFE, INCMetLifebanking violation2012FED$3,200,000
MetLife Securities, Inc.MetLifeinvestor protection violation2012DC-DISB$25,000
MetLife Securities, Inc.MetLifeinvestor protection violation2010IL-SEC$135,000
MetLife Securities, Inc.MetLifeinvestor protection violation2006MS-SEC$50,000
MetLife Securities, Inc.MetLifeinvestor protection violation2016FINRA$25,000,000
MetLife Securities, Inc.MetLifeinvestor protection violation2015FINRA$649,748
MetLife Securities, Inc.MetLifeinvestor protection violation2009FINRA$1,200,000
MetLife Securities, IncMetLifeinvestor protection violation2006FINRA$500,000
MetLife SecuritiesMetLifeemployment discrimination2017private lawsuit-federal$32,500,000
MetLife SecuritiesMetLifeinvestor protection violation2005OR-FIN$12,000
Metlife SecuritiesMetLifewage and hour violation2014MI-LEO$8,000
Metlife Pet Insurance Services LLC fka Petfirst Healthcare LLCMetLifeinsurance violation2023NY-DFS$129,000
MetLife Investors USA Insurance CompanyMetLifeinsurance violation2009NH-INS$54,524
MetLife Investors USA Insurance Co. et al.MetLifeinsurance violation2006MN-FIN$250,000
MetLife Investors USA Insurance Co. et al.MetLifeinsurance violation2012MN-FIN$200,000
Metlife Investors USA Insurance CoMetLifeinvestor protection violation2012MT-FIN$5,000
MetLife Insurance CompanyMetLifeinsurance violation2019NY-DFS$208,750,000
Metlife Human ResourcesMetLifewage and hour violation2014MI-LEO$8,000
MetLife Home Loans LLCMetLifeFalse Claims Act and related2015DOJ_CIVIL$123,500,000
MetLife Financial ServicesMetLifelabor relations violation2002NLRB$18,500
MetLife BankMetLifebanking violation2013OCC$78,536,455
MetLifeMetLifewage and hour violation2015private lawsuit-federal$1,970,000
MetLifeMetLifewage and hour violation2013private lawsuit-federal$450,000
MetLifeMetLifewage and hour violation2013private lawsuit-federal$3,003,000
MetLifeMetLifewage and hour violation2011private lawsuit-federal$2,000,000
MetLifeMetLifewage and hour violation2011private lawsuit-federal$2,350,000
MetLifeMetLifewage and hour violation2009private lawsuit-federal$7,400,000
MetLifeMetLifeinsurance violation2012MULTI-AG$40,000,000
MetLifeMetLifeinsurance violation2014NY-DFS$50,000,000
MetLifeMetLifediscriminatory practices (non-employment)2002NY-DFS$160,000,000
Merrill, Lynch, Pierce, Fenner and Smith, Inc.Bank of Americainvestor protection violation2010NJ-AG$728,260
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americainvestor protection violation2016FINRA$2,800,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americaprivacy violation2023NH-BSR$700,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2003SEC$200,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$75,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$33,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009SEC$1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americawage and hour violation2006WHD$7,060
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FL-OFR$10,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2016VA-SEC$11,500
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2016FINRA$5,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2014FINRA$32,400,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2014FINRA$1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2012FINRA$2,800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009FINRA$150,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2008FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FINRA$1,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2001FINRA$15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2000FINRA$97,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2021FINRA$11,650,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2022FINRA$15,200,000
Merrill Lynch, Pierce, Fenner & Smith, IncBank of Americaeconomic sanction violation2004OFAC$22,904
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2015SEC$500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2006SEC$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2000SEC$5,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaanti-money-laundering deficiencies2017SEC$13,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americabenefit plan administrator violation2017private lawsuit-federal$25,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019SEC$8,014,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019CFTC$300,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2018VT-FIN$120,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$280,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$4,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2017FINRA$1,400,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2014FINRA$2,440,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2013FINRA$2,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2004FINRA$250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americatoxic securities abuses2021NM-AG$4,642,857
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2023SEC$9,660,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaconsumer protection violation2015private lawsuit-federal$10,571,428
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaconsumer protection violation2012private lawsuit-federal$11,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaanti-money-laundering deficiencies2023SEC$6,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2009SEC$7,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2018SEC$15,700,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americabenefit plan administrator violation2011EBSA$170,854
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2006CT-SEC$3,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013DC-DISB$15,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2007IL-SEC$40,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2015MA-SEC$2,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2009MO-SEC$20,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013MO-SEC$2,121,579
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020CT-SEC$400,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020NH-BSR$26,250,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020FINRA$7,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americasecurities issuance or trading violation2018FINRA$5,990,530
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2016FINRA$7,030,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2014FINRA$4,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.