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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 TypeYearAgencyPenalty Amount sort icon
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2021PA-BKG$232,200
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsair pollution violation2012NJ-ENV$231,875
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2019VT-FIN$231,000
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2021NY-DFS$230,820
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2007MO-SEC$230,469
JP Morgan Chase Bank, N.A.JPMorgan Chasewater pollution violation2017EPA$230,392
BOK Financial Corporation dba the Bank of AlbuquerqueBOK Financialemployment discrimination2014EEOC$230,000
Ameriprise Financial ServicesAmeriprise Financialinvestor protection violation2018SEC$230,000
Interactive Brokers, L.L.C.Interactive Brokers Groupinvestor protection violation2002FINRA$230,000
U.S. BankU.S. Bancorpconsumer protection violation2021MA-AG$230,000
The Gas Company, LLCMacquarieair pollution violation2021EPA$230,000
Kevin NishimuraMacquarieair pollution violation2021EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $230,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006ND-SEC$229,000
Fifth Third Mortgage Co.Fifth Third Bancorpconsumer protection violation2014WA-FIN$228,626
World Group Securities, Inc.Aegoninvestor protection violation2006MO-SEC$228,600
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2004WHD$228,209
Nationwide Property and Casualty Insurance CompanyNationwideinsurance violation2014VA-INS$225,800
JPMorgan ChaseJPMorgan Chasedata submission deficiencies2016CFTC$225,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2013CFTC$225,000
Farmers Insurance ExchangeFarmers Insurance Exchangeemployment discrimination2016EEOC$225,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsinvestor protection violation2010SEC$225,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2019SEC$225,000
Fifth Third BankFifth Third Bancorpemployment discrimination2004EEOC$225,000
AmSouth Investment Services, Inc.Regions Financialinvestor protection violation2004MS-SEC$225,000
AmSouth Investment Services Inc.Regions Financialinvestor protection violation2004MULTI-FIN$225,000
MBNABank of Americaenvironmental violation2002DE-ENV$225,000
Zions Direct, Inc.Zions Bancorporationinvestor protection violation2010FINRA$225,000
Banc One Securities CorporationJPMorgan Chaseinvestor protection violation2008FINRA$225,000
Credit Suisse Securities (USA), LLCUBSinvestor protection violation2006FINRA$225,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2001FINRA$225,000
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021VT-FIN$225,000
Fidelity National Title Insurance Company & Chicago Title Insurance CompanyFidelity National Financialinsurance violation2014UT-INS$222,500
PROGRESSIVE NORTHERN INSURANCEProgressiveinsurance violation2013VA-INS$221,905
H&R BlockH&R Blockwage and hour violation2013private lawsuit-federal$221,400
Hutchinson, Shockey, Erley & Co.Huntington Bancsharesinvestor protection violation2015SEC$220,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2005FINRA$220,000
American International GroupAmerican International GroupFalse Claims Act and related2008MA-AG$218,920
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2012CO-INS$218,000
Citigroup Inc.Citigroupeconomic sanction violation2014OFAC$217,841
Cincinnati Life Insurance CompanyCincinnati Financialinsurance violation2004MULTI-FIN$216,750
Aon Risk Services Northeast Inc.Aoninsurance violation2023NY-DFS$215,725
Liberty Mutual Insurance GroupLiberty Mutual Insuranceinsurance violation2003CA-INS$215,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2015NM-SEC$215,000
HealthNow NewYork, Inc.Highmark Inc.consumer protection violation2009NY-AG$212,500
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2010MO-SEC$211,617
Prospect MortgageHomebridge Financial Serviceswage and hour violation2015WHD$211,237
Janney Montgomery Scott, Inc.Penn Mutualinvestor protection violation2001DE-SEC$210,909
Nationwide Mutual Insurance CoNationwidewage and hour violation2018WHD$210,373
American General Life Insurance Co.American International Groupinsurance violation2018FL-OFR$210,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2012IN-SEC$210,000
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$209,170
Buckeye Partners, LPIFM Investorspipeline safety violation2020PHMSA$209,002
PNC Bank, National AssociationPNC Financial Servicesbanking violation2018OCC$207,245
American States Preferred Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2010VA-INS$205,463
WELLS FARGO ADVISORSWells Fargoinvestor protection violation2015VA-SEC$205,000
American ExpressAmerican Expresseconomic sanction violation2017OFAC$204,277
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2020VT-FIN$204,000
JP Morgan Chase BankJPMorgan Chaseworkplace whistleblower retaliation2016OSHA$203,323
UBS Financial Services Inc.UBSinvestor protection violation2004FINRA$200,666
Morgan Stanley Capital GroupMorgan Stanleyinvestor protection violation2014CFTC$200,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2012CFTC$200,000
UBS SecuritiesUBSdata submission deficiencies2010CFTC$200,000
Hampton Roads BanksharesAtlantic Union Banksharesaccounting fraud or deficiencies2014SEC$200,000
INTL FCStone Markets, LLCStoneX Groupinvestor protection violation2015CFTC$200,000
Global Futures & Forex, Ltd.StoneX Groupinvestor protection violation2014CFTC$200,000
Key Bank National AssociationKeyCorpeconomic sanction violation2008OFAC$200,000
BB&T Securities, LLCTruist Financialinvestor protection violation2016SEC$200,000
BB&T Securities, LLCTruist Financialinvestor protection violation2015SEC$200,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015SEC$200,000
World Group Securities, Inc.Aegoninvestor protection violation2010SEC$200,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2007SEC$200,000
Credit Suisse First Boston, LLCUBSinvestor protection violation2005SEC$200,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2001SEC$200,000
Ameriprise Financial Services, Inc.Ameriprise Financialconsumer protection violation2009MA-AG$200,000
GMAC BankAlly Financialconsumer protection violation2008NY-AG$200,000
Nelnet, Inc.Nelnetconsumer protection violation2008NY-AG$200,000
PayPalPayPal Holdingsconsumer protection violation2002NY-AG$200,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2002CA-INS$200,000
LPL Financial LLCLPL Financialinvestor protection violation2015DE-SEC$200,000
Principal Life Insurance Co.Principal Financialinsurance violation2018DE-INS$200,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2010IN-INS$200,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2012MD-INS$200,000
Universal Underwriter Insurance Co.Zurich Insuranceinsurance violation2004MN-FIN$200,000
ING Life Insurance and Annuity Co. et al.Voya Financialinsurance violation2012MN-FIN$200,000
John Hancock Life Insurance Co. (USA) et al.Manulife Financialinsurance violation2012MN-FIN$200,000
MetLife Investors USA Insurance Co. et al.MetLifeinsurance violation2012MN-FIN$200,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012MN-FIN$200,000
Horizon Healthcare of New Jersey Inc.Horizon Healthcare Servicesinsurance violation2003NJ-DBI$200,000
Ameritrade Inc.Charles Schwab Corp.investor protection violation2007TX-SEC$200,000
Virginia Surety Company Inc.Assurantinsurance violation2011TX-INS$200,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$200,000
Bankers Life & CasualtyCNO Financialinsurance violation2013WI-INS$200,000
Virginia Surety Company Inc.Assurantinsurance violation2013MULTI-FIN$200,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2020NY-DFS$200,000
Washington Federal Bank, N.A.Washington Federal Inc.consumer protection violation2020CFPB$200,000
Esurance Insurance CompanyAllstateinsurance violation2020TX-INS$200,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2010FINRA$200,000
H&R Block Financial Advisors, Inc.H&R Blockinvestor protection violation2010FINRA$200,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2009FINRA$200,000
M&T Securities, Inc.M&T Bankinvestor protection violation2009FINRA$200,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2009FINRA$200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.