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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
ConvergEx GroupToronto-Dominion Bankinvestor protection violation2013SEC$107,424,429
TD BankToronto-Dominion Bankinvestor protection violation2013SEC$15,000,000
Claritas Investments Ltd.Principal Financialinvestor protection violation2013SEC$144,819
Chicago Board Options ExchangeCBOE Holdingsinvestor protection violation2013SEC$6,000,000
Macquarie Futures USA LLCMacquarieinvestor protection violation2013CFTC$150,000
FCStone LLCStoneX Groupinvestor protection violation2013CFTC$1,500,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2013CFTC$225,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$45,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$22,449
SunTrust Mortgage, Inc.Truist Financialdiscriminatory practices (non-employment)2013HUD$36,000
PNC MortgagePNC Financial Servicesdiscriminatory practices (non-employment)2013HUD$15,000
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2013HUD$12,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$7,500
Bank of America CorpBank of Americaemployment discrimination2013OFCCP$2,181,593
BMO Harris BankBank of Montrealemployment discrimination2013EEOC$400,000
Regions Financial CorporationRegions Financialemployment discrimination2013EEOC$95,000
The Huntington National BankHuntington Bancshareswage and hour violation2013WHD$32,553
Chemoil CorporationGlencorewage and hour violation2013WHD$16,594
UBS, Inc.UBSwage and hour violation2013WHD$90,902
MetLife, Inc.MetLifewage and hour violation2013WHD$24,296
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
Ambac Financial Group et al.Ambac Financialtoxic securities abuses2013USAO$101,900,000
AllianceBernsteinEquitable Holdingswage and hour violation2013private lawsuit-federal$2,980,000
Bank of AmericaBank of Americawage and hour violation2013private lawsuit-federal$73,000,000
MetLifeMetLifewage and hour violation2013private lawsuit-federal$450,000
H&R BlockH&R Blockwage and hour violation2013private lawsuit-federal$221,400
Wells Fargo AdvisorsWells Fargowage and hour violation2013private lawsuit-federal$4,000,000
State FarmState Farm Insurancewage and hour violation2013private lawsuit-federal$5,000,000
Merrill LynchBank of Americawage and hour violation2013private lawsuit-federal$12,000,000
HSBC BankHSBCwage and hour violation2013private lawsuit-federal$15,625,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2013private lawsuit-federal$770,000
TD BankToronto-Dominion Bankwage and hour violation2013private lawsuit-federal$975,000
NationwideNationwidewage and hour violation2013private lawsuit-federal$850,000
Huntington BancsharesHuntington Bancshareswage and hour violation2013private lawsuit-federal$3,100,000
Franklin American MortgageCitizens Financial Groupwage and hour violation2013private lawsuit-federal$165,000
KeyBankKeyCorpwage and hour violation2013private lawsuit-federal$4,900,000
Merrill LynchBank of Americawage and hour violation2013private lawsuit-federal$21,000,000
First Niagara Financial GroupKeyCorpwage and hour violation2013private lawsuit-federal$404,000
MetLifeMetLifewage and hour violation2013private lawsuit-federal$3,003,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2013SEC$300,000
Knight Capital Americas LLCVirtu Financialinvestor protection violation2013SEC$12,000,000
ABN AMRO Bank, N.V.ABN AMROinvestor protection violation2013SEC$5,547,408
UBS O'Connor, LLCUBSinvestor protection violation2013SEC$5,297,716
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.investor protection violation2013SEC$10,000,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsinvestor protection violation2013SEC$2,886,677
ING Life Insurance and Annuity Co.Voya Financialbenefit plan administrator violation2013EBSA$5,200,000
Merrill LynchBank of Americaemployment discrimination2013private lawsuit-federal$38,225,000
Merrill LynchBank of Americaemployment discrimination2013private lawsuit-federal$160,000,000
United Community Banks, Inc.United Community Banks Inc.benefit plan administrator violation2013private lawsuit-federal$3,500,000
Flagstar Bancorp, Inc.New York Community Bancorpbenefit plan administrator violation2013private lawsuit-federal$3,000,000
Comerica IncorporatedComericabenefit plan administrator violation2013private lawsuit-federal$11,000,000
ING Groep N.V.Voya Financialbenefit plan administrator violation2013private lawsuit-federal$3,500,000
Sterling Financial CorporationUmpqua Holdingsbenefit plan administrator violation2013private lawsuit-federal$3,025,000
AffinionJPMorgan Chaseconsumer protection violation2013MULTI-AG$30,000,000
Bank of AmericaBank of Americainvestor protection violation2013MULTI-AG$500,000,000
Bank of America Corp.Bank of Americaconsumer protection violation2013WV-AG$1,950,000
Bank of New York MellonBank of New York Melloninvestor protection violation2013FL-AG$28,000,000
Barclays Bank PLCBarclaystoxic securities abuses2013MA-AG$36,100,000
Citibank N.A.Citigroupprivacy violation2013CT-AG$55,000
Citibank/Citigroup Inc.Citigroupconsumer protection violation2013WV-AG$1,950,000
Countrywide Securities Corp.Bank of Americamortgage abuses2013MA-AG$17,300,000
DB Structured Products, Inc.Deutsche Banktoxic securities abuses2013NV-AG$11,500,000
Discover Financial ServicesDiscover Financial Servicesconsumer protection violation2013WV-AG$1,950,000
HSBC Finance CorporationHSBCconsumer protection violation2013WV-AG$1,950,000
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2013MULTI-AG$10,700,000
J.P. Morgan Chase & Co.JPMorgan Chasetoxic securities abuses2013CA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $298,973,000
John Hancock Life Insurance Co.Manulife Financialconsumer protection violation2013MA-AG$40,000
JPMorgan ChaseJPMorgan Chasetoxic securities abuses2013MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,066,000,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2013WV-AG$1,950,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2013MULTI-AG$12,600,000
Merrill Lynch & Co.Bank of Americainvestor protection violation2013NJ-AG$45,000,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2013MA-AG$50,000
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2013NJ-AG$100,000
New York Life Insurance CompanyNew York Life Insuranceinsurance violation2013MULTI-AG$15,000,000
Ocwen Financial ServicesOcwen Financialmortgage abuses2013MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $127,300,000
Old Second Bancorp, Inc.Old Second Bancorpbenefit plan administrator violation2013private lawsuit-federal$7,500,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsinvestor protection violation2013MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,800,000
PHH Mortgage CorporationOcwen Financialmortgage abuses2013NJ-AG$6,250,000
Pioneer Credit Recovery, Inc.Navienttax violations2013CT-AG$12,255
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013NJ-AG$450,000
Royal Bank of CanadaRoyal Bank of Canadaprice-fixing or anti-competitive practices2013WV-AG$175,000
Transamerica Life Insurance Co.Aegoninsurance violation2013MA-AG$1,330,000
Transamerica Insurance Co.Aegoninsurance violation2013MULTI-AG$11,200,000
UBS Financial Services, IncUBSinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services, Inc.UBSinvestor protection violation2013DE-AG$70,077
HSBC Bank USA, N.A.HSBCeconomic sanction violation2013OFAC$32,400
Compass BankPNC Financial Serviceseconomic sanction violation2013OFAC$19,125
Deutsche Bank Trust Company AmericasDeutsche Bankeconomic sanction violation2013OFAC$19,800
American Express Travel Related Services Company, Inc.American Expresseconomic sanction violation2013OFAC$5,226,120
Intesa Sanpaolo S.p.A.Intesa Sanpaoloeconomic sanction violation2013OFAC$2,949,030
Wells Fargo Bank, N.A.Wells Fargoeconomic sanction violation2013OFAC$23,937
Fidelity National Financial, Inc.Fidelity National Financialconsumer protection violation2013CA-MULTI$873,588
UBS Financial Services, Inc.UBSinvestor protection violation2013AK-DBS$64,661
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013AK-DBS$44,370
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2013AR-INS$10,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2013AR-INS$5,000
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2013AR-SEC$6,000
John Alden Life Insurance Co.Assurantinsurance violation2013AZ-DIFI$90,000
Union Security Insurance Co.Assurantinsurance violation2013AZ-DIFI$40,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.