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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 TypeYear sort iconAgencyPenalty Amount
Torchmark CorporationGlobe Life Inc.Medicare Parts C and D Enforcement Action2014CMS$40,000
Hampton Roads BanksharesAtlantic Union Banksharesaccounting fraud or deficiencies2014SEC$200,000
Wedbush SecuritiesWedbush Securitiesinvestor protection violation2014SEC$2,440,000
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2014SEC$61,800
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2014SEC$56,000
Investment Professionals Inc.Ameriprise Financialinvestor protection violation2014SEC$67,800
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014SEC$54,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2014SEC$61,200
Stifel Nicolaus & Co.Stifel Financialinvestor protection violation2014SEC$60,000
TD AmeritradeCharles Schwab Corp.investor protection violation2014SEC$100,800
UBS Financial ServicesUBSinvestor protection violation2014SEC$56,400
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2014SEC$67,200
E*TRADE SecuritiesMorgan Stanleyinvestor protection violation2014SEC$2,500,000
BlackRock Institutional Trust CompanyBlackRockinvestor protection violation2014SEC$1,675,350
Wilmington TrustM&T Bankaccounting fraud or deficiencies2014SEC$18,500,000
LavaFlow Inc.Citigroupinvestor protection violation2014SEC$5,000,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2014SEC$4,500,000
Transamerica Financial AdvisorsAegoninvestor protection violation2014SEC$1,107,248
ScottradeCharles Schwab Corp.data submission deficiencies2014SEC$2,500,000
Western Asset Management CompanyFranklin Resourcesinvestor protection violation2014SEC$19,400,000
Global Futures & Forex, Ltd.StoneX Groupinvestor protection violation2014CFTC$200,000
Louis Dreyfus Energy ServiceLouis Dreyfusenergy market violation2014FERC$7,406,257
Wells Fargo Home MortgageWells Fargodiscriminatory practices (non-employment)2014HUD$5,000,000
Midland States BancorpMidland States Bancorpdiscriminatory practices (non-employment)2014HUD$15,950,000
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2014HUD$11,489
Freedom Mortgage CorporationFreedom Mortgagediscriminatory practices (non-employment)2014HUD$104,000
JPMorgan ChaseJPMorgan Chaseemployment discrimination2014EEOC$1,450,000
BOK Financial Corporation dba the Bank of AlbuquerqueBOK Financialemployment discrimination2014EEOC$230,000
SunTrust BankTruist Financialemployment discrimination2014EEOC$300,000
Wells Fargo Bank, N.A.Wells Fargoemployment discrimination2014EEOC$290,000
Wells Fargo & CompanyWells Fargoemployment discrimination2014EEOC$295,000
Bank of AmericaBank of Americaemployment discrimination2014EEOC$110,000
Central Payment Co., LLCGlobal Payments Inc.wage and hour violation2014WHD$29,634
Central Payment Co., LLCGlobal Payments Inc.wage and hour violation2014WHD$13,560
BancFirst Insurance Services, Inc.BancFirstwage and hour violation2014WHD$20,229
Total System Services IncGlobal Payments Inc.wage and hour violation2014WHD$32,095
H & R BlockH&R Blockwage and hour violation2014WHD$128,872
H&R Block Eastern Enterprises IncH&R Blockwage and hour violation2014WHD$24,928
Asset Acceptance, LLCEncore Capital GroupFamily and Medical Leave Act2014WHD$7,450
National Life Insurance CompanyNational Life Groupwage and hour violation2014WHD$32,087
TMX Finance, LLCTMX Financewage and hour violation2014WHD$10,057
Highmark, IncHighmark Inc.wage and hour violation2014WHD$120,900
M&T BankM&T Bankanti-money-laundering deficiencies2014USAO$560,000
Brown Brothers Harriman & Co.Brown Brothers Harrimaninvestor protection violation2014SEC$120,000
Royal Bank of Scotland Group plcNatWest Group PLCinvestor protection violation2014SEC$120,000
Bank of America CorporationBank of Americainvestor protection violation2014SEC$20,000,000
US BANKU.S. Bancorpwage and hour violation2014IL-DOL$131,922
Morgan StanleyMorgan Stanleywage and hour violation2014private lawsuit-federal$4,200,000
TD BankToronto-Dominion Bankwage and hour violation2014private lawsuit-federal$6,000,000
Charles SchwabCharles Schwab Corp.wage and hour violation2014private lawsuit-federal$3,800,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2014private lawsuit-federal$16,000,000
Merrill LynchBank of Americawage and hour violation2014private lawsuit-federal$6,900,000
Fifth Third BankFifth Third Bancorpwage and hour violation2014private lawsuit-federal$4,000,000
KeyBankKeyCorpwage and hour violation2014private lawsuit-federal$3,500,000
U.S. BancorpU.S. Bancorpwage and hour violation2014private lawsuit-federal$6,450,000
PNC BankPNC Financial Serviceswage and hour violation2014private lawsuit-federal$7,000,000
Citizens Financial GroupCitizens Financial Groupwage and hour violation2014private lawsuit-federal$11,501,500
GMAC MortgageAlly Financialwage and hour violation2014private lawsuit-federal$2,000,000
Wells FargoWells Fargowage and hour violation2014private lawsuit-federal$15,000,000
Wells FargoWells Fargowage and hour violation2014private lawsuit-state$3,000,000
Citizens BankCitizens Financial Groupwage and hour violation2014private lawsuit-federal$3,000,000
Old Republic TitleOld Republic Internationalwage and hour violation2014private lawsuit-federal$12,000,000
Western Asset Management CompanyFranklin Resourcesbenefit plan administrator violation2014EBSA$21,000,000
Regions Financial Corp.Regions Financialbenefit plan administrator violation2014private lawsuit-federal$22,500,000
ING Life Insurance & Annuity Co.Voya Financialbenefit plan administrator violation2014private lawsuit-federal$14,950,000
State Street CorporationState Street Corp.benefit plan administrator violation2014private lawsuit-federal$10,000,000
Prudential InsurancePrudential Financialbenefit plan administrator violation2014private lawsuit-federal$39,100,000
TIAA-CREFTIAAbenefit plan administrator violation2014private lawsuit-federal$22,800,000
Wells Fargo Bank N.A.Wells Fargobenefit plan administrator violation2014private lawsuit-federal$62,500,000
Citigroup Inc.Citigroupbenefit plan administrator violation2014private lawsuit-federal$8,500,000
Wilmington Trust Corp.M&T Bankbenefit plan administrator violation2014private lawsuit-federal$3,000,000
FMR LLCFidelity Investmentsbenefit plan administrator violation2014private lawsuit-federal$12,000,000
Bank of AmericaBank of Americaconsumer protection violation2014HI-AG$2,825,000
Bank of America CorporationBank of Americamortgage abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $943,000,000
Brown & Brown Insurance of Arizona, Inc.Brown & Browntax violations2014CT-AG$37,650
CashCall Inc.CashCall Inc.consumer protection violation2014IA-AG$1,500,000
CitibankCitigroupconsumer protection violation2014HI-AG$2,825,000
Citigroup Global Markets, Inc.Citigroupconsumer protection violation2014NY-AG$16,000,000
Citigroup Inc.Citigrouptoxic securities abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $291,750,000
Discover Financial ServicesDiscover Financial Servicesconsumer protection violation2014HI-AG$2,825,000
Genworth Life Insurance Co.Genworth Financialinsurance violation2014MULTI-AG$1,900,000
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014DE-AG$51,400
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014NJ-AG$50,460
John Hancock Assignment Co.Manulife Financialtax violations2014CT-AG$38,910
John Hancock Life Insurance Co.Manulife Financialinvestor protection violation2014MA-AG$550,000
JP Morgan ChaseJPMorgan Chaseconsumer protection violation2014HI-AG$2,825,000
JPMorgan Chase and Co.JPMorgan Chaseprice-fixing or anti-competitive practices2014WV-AG$400,000
Ocwen Financial Corp.Ocwen Financialmortgage abuses2014MA-AG$3,700,000
Pacific Resources Benefits Advisors, LLCBrown & Browntax violations2014CT-AG$5,400
Sentry InsuranceSentry Insuranceconsumer protection violation2014MA-AG$53,430
Sun Life Insurance CompanySun Life Financialinsurance violation2014MULTI-AG$3,200,000
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $40,000,000
TD BankToronto-Dominion Bankprivacy violation2014MA-AG$625,000
TD Bank, N.A.Toronto-Dominion Bankprivacy violation2014MULTI-AG$850,000
TitleMax of Virginia Inc.TMX Financeconsumer protection violation2014DC-AG$167,257
United Services Automobile AssociationUSAAdiscriminatory practices (non-employment)2014MA-AG$50,000
Western Sky Financial, LLCCashCall Inc.consumer protection violation2014NY-AG$1,500,000
Western Sky Financial, LLC et al.CashCall Inc.consumer protection violation2014CO-AG$565,000
Citigroup Inc.Citigroupeconomic sanction violation2014OFAC$217,841
Branch Banking & Trust Co.Truist Financialeconomic sanction violation2014OFAC$19,125
American International Group, Inc.American International Groupeconomic sanction violation2014OFAC$279,038
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.