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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
Mastercard Inc.MasterCardconsumer protection violation2018NM-AG$1,125,000
MasterCard Inc.MasterCardprice-fixing or anti-competitive practices2009private lawsuit-federal$72,480,000
MassMutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2020NY-DFS$1,399,708
Massachusetts Mutual Life Insurance Company, Inc.Massachusetts Mutual Life Insuranceinsurance violation2019CT-INS$61,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinvestor protection violation2012SEC$1,625,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insuranceconsumer protection violation2017private lawsuit-federal$37,500,000
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYMassachusetts Mutual Life Insuranceinsurance violation2023WA-INS$10,000
Massachusetts Mutual Life Insurance Co.Massachusetts Mutual Life Insurancebenefit plan administrator violation2016private lawsuit-federal$30,900,000
Massachusetts Mutual Life Insurance Co.Massachusetts Mutual Life Insurancebenefit plan administrator violation2015private lawsuit-federal$9,475,000
MASSACHUSETTS MUTUAL LIFE INSURANCEMassachusetts Mutual Life Insuranceinsurance violation2003VA-INS$15,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2004SEC$50,000,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2003SEC$917,858
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2018SEC$1,900,000
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004SEC$225,000,000
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004NY-AG$350,000,000
MASS MUTUAL INSTITUTIONAL FUNDSMassachusetts Mutual Life Insuranceworkplace safety or health violation2020OSHA$9,639
Marsh USA, Inc.Marsh & McLennaninsurance violation2005OR-FIN$75,000
Marsh USA, Inc.Marsh & McLennaninsurance violation2016TX-INS$6,500
MARSH USA, INC.Marsh & McLennaninsurance violation2006VA-INS$150,000
Marsh USA, Inc.Marsh & McLennaninsurance violation2022TX-INS$5,200
Marsh USA Inc.Marsh & McLennaninsurance violation2015AK-INS$25,000
Marsh USA Inc.Marsh & McLennaninsurance violation2019AK-INS$30,000
Marsh USA Inc.Marsh & McLennaninsurance violation2009MN-FIN$325,000
Marsh USA Inc.Marsh & McLennaninsurance violation2008PA-INS$50,000
Marsh USA Inc.Marsh & McLennaninsurance violation2011TX-INS$121,189
Marsh USA Inc.Marsh & McLennaninsurance violation2023AK-INS$55,000
Marsh USA Inc.Marsh & McLennaninsurance violation2023NY-DFS$123,100
Marsh USA IncMarsh & McLennaninsurance violation2018NY-DFS$12,950
Marsh and McLennanMarsh & McLennaninvestor protection violation2009MULTI-AG$400,000,000
Marsh and McLennanMarsh & McLennanprice-fixing or anti-competitive practices2009MULTI-AG$7,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennanbenefit plan administrator violation2010private lawsuit-federal$35,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennankickbacks and bribery2009CT-AG$2,400,000
Marsh & McLennan Companies, Inc.Marsh & McLennanprice-fixing or anti-competitive practices2005MULTI-AG$850,000,000
Marsh & McLennan Companies Inc.Marsh & McLennanprice-fixing or anti-competitive practices2009private lawsuit-federal$69,000,000
Marsh & McLennan Agency, LLCMarsh & McLennaninsurance violation2014NJ-DBI$15,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2016AK-INS$10,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2019AK-INS$20,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2015NJ-DBI$50,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2017TX-INS$6,825
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2018TX-INS$7,600
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2020TX-INS$6,350
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2023AK-INS$20,000
Manulife Financial CorporationManulife Financialinvestor protection violation2004DOJ_ANTITRUST$1,000,000
MANULIFE FINANCIALManulife Financialenvironmental violation2008MA-ENV$18,030
MAINSOURCE BANKFirst Financial Bancorp.banking violation2010FDIC$22,000
Macquarie Futures USA LLCMacquarieinvestor protection violation2013CFTC$150,000
Macquarie Capital Investment Management LLC, et alMacquarieinvestor protection violation2015SEC$120,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015SEC$15,000,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015FINRA$2,950,000
M&T Securities, Inc.M&T Bankinvestor protection violation2009FINRA$200,000
M&T Bank Corp.M&T BankFalse Claims Act and related2016DOJ_CIVIL$64,000,000
M&T BankM&T Bankconsumer protection violation2014CFPB$3,100,000
M&T BankM&T Bankanti-money-laundering deficiencies2014USAO$560,000
M&T BankM&T Bankemployment discrimination2020EEOC$100,000
M&T BankM&T Bankbanking violation2020FED$546,000
M&T BankM&T Bankconsumer protection violation2022private lawsuit-federal$3,325,000
M&T BankM&T Bankconsumer protection violation2015private lawsuit-federal$4,000,000
M&T Bank CorporationM&T Bankwage and hour violation2018private lawsuit-federal$2,490,000
LPL Financial, LLCLPL Financialinvestor protection violation2017NJ-AG$975,000
LPL Financial, LLCLPL Financialinvestor protection violation2011IL-SEC$250,000
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$2,000,000
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$815,218
LPL Financial, LLCLPL Financialinvestor protection violation2013IN-SEC$14,000
LPL Financial, LLCLPL Financialinvestor protection violation2018IN-SEC$450,000
LPL Financial, LLCLPL Financialinvestor protection violation2015NH-BSR$750,000
LPL Financial, LLCLPL Financialinvestor protection violation2018FINRA$2,750,000
LPL Financial, LLCLPL Financialinvestor protection violation2023PA-BKG$190,000
LPL Financial, LLCLPL Financialinvestor protection violation2023MA-SEC$250,000
LPL Financial LLCLPL Financialinvestor protection violation2019SEC$9,333,516
LPL Financial LLCLPL Financialconsumer protection violation2015MULTI-AG$2,000,000
LPL Financial LLCLPL Financialinvestor protection violation2019MULTI-AG$25,848,000
LPL Financial LLCLPL Financialinvestor protection violation2019AK-DBS$499,000
LPL Financial LLCLPL Financialinvestor protection violation2018AL-SEC$80,000
LPL Financial LLCLPL Financialinvestor protection violation2019AR-SEC$40,000
LPL Financial LLCLPL Financialinvestor protection violation2015DE-SEC$200,000
LPL Financial LLCLPL Financialinvestor protection violation2013MA-SEC$500,000
LPL Financial LLCLPL Financialinvestor protection violation2015MA-SEC$250,000
LPL Financial LLCLPL Financialinvestor protection violation2017MA-SEC$975,000
LPL Financial LLCLPL Financialinvestor protection violation2017MA-SEC$1,000,000
LPL Financial LLCLPL Financialinvestor protection violation2019MA-SEC$1,100,000
LPL Financial LLCLPL Financialinvestor protection violation2019MD-SEC$499,000
LPL Financial LLCLPL Financialinvestor protection violation2013MO-SEC$185,000
LPL Financial LLCLPL Financialinvestor protection violation2018MS-SEC$40,000
LPL Financial LLCLPL Financialinvestor protection violation2012MT-FIN$30,500
LPL Financial LLCLPL Financialinvestor protection violation2011OR-FIN$100,000
LPL Financial LLCLPL Financialinvestor protection violation2019SC-SEC$40,000
LPL Financial LLCLPL Financialinvestor protection violation2016TX-SEC$95,000
LPL Financial LLCLPL Financialinvestor protection violation2015MULTI-FIN$1,425,000
LPL Financial LLCLPL Financialinvestor protection violation2018MULTI-FIN$26,000,000
LPL Financial LLCLPL Financialinvestor protection violation2020NH-BSR$976,000
LPL Financial LLCLPL Financialinvestor protection violation2019FINRA$280,000
LPL Financial LLCLPL Financialinvestor protection violation2016FINRA$750,000
LPL Financial LLCLPL Financialinvestor protection violation2015FINRA$6,300,000
LPL Financial LLCLPL Financialinvestor protection violation2015FINRA$11,700,000
LPL Financial LLCLPL Financialinvestor protection violation2014FINRA$950,000
LPL Financial LLCLPL Financialinvestor protection violation2013FINRA$9,000,000
LPL Financial LLCLPL Financialinvestor protection violation2021SEC$891,202
LPL Financial LLCLPL Financialinvestor protection violation2021CT-SEC$500,000
LPL Financial LLCLPL Financialinvestor protection violation2022TX-SEC$125,000
LPL Financial LLCLPL Financialinvestor protection violation2022NH-BSR$10,307
LPL Financial CorporationLPL Financialinvestor protection violation2008SEC$275,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.