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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
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
Nationwide Property and Casualty Insurance CompanyNationwideinsurance violation2014VA-INS$225,800
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2004WHD$228,209
World Group Securities, Inc.Aegoninvestor protection violation2006MO-SEC$228,600
Fifth Third Mortgage Co.Fifth Third Bancorpconsumer protection violation2014WA-FIN$228,626
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006ND-SEC$229,000
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
JP Morgan Chase Bank, N.A.JPMorgan Chasewater pollution violation2017EPA$230,392
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2007MO-SEC$230,469
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2021NY-DFS$230,820
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2019VT-FIN$231,000
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsair pollution violation2012NJ-ENV$231,875
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2021PA-BKG$232,200
Esurance Property and Casualty Insurance CompanyAllstateinsurance violation2018RI-FIN$233,963
Zurich Insurance GroupZurich Insuranceinsurance violation2010CT-INS$235,000
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2012MO-INS$237,500
The Chubb Corp.Chubb Limitedconsumer protection violation2009MA-AG$239,011
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2007FL-OFR$240,000
National Integrity Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2018NY-DFS$240,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2019SEC$241,227
H&R BlockH&R Blockconsumer protection violation2008NY-AG$245,000
BlackRock Institutional Trust Company NABlackRockinvestor protection violation2012CFTC$250,000
BMO Capital Markets GKST Inc.Piper Sandlerinvestor protection violation2015SEC$250,000
Scotia Capital Inc.Scotiabankinvestor protection violation2010CFTC$250,000
American Express Centurion BankAmerican Expressbanking violation2009FDIC$250,000
Columbia Management Investment Services Corp.Ameriprise Financialinvestor protection violation2017SEC$250,000
Mizuho Bank, Ltd.Mizuho Financialinvestor protection violation2018CFTC$250,000
Metropolitan Life Insurance CompanyMetLifeinvestor protection violation2006SEC$250,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$250,000
MONY Life Insurance Co.Dai-ichi Lifeconsumer protection violation2000CT-AG$250,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2017MULTI-AG$250,000
Unum Insurance Co.Unumkickbacks and bribery2008CA-MULTI$250,000
CashCall, Inc.CashCall Inc.payday lending violation2017AZ-DIFI$250,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2003CA-INS$250,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2005CA-INS$250,000
PNC Investments LLCPNC Financial Servicesinvestor protection violation2010DE-SEC$250,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2006IL-SEC$250,000
LPL Financial, LLCLPL Financialinvestor protection violation2011IL-SEC$250,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2012MA-SEC$250,000
LPL Financial LLCLPL Financialinvestor protection violation2015MA-SEC$250,000
Quicken Loans, Inc. and One Reverse Mortgage, LLCRocket Companies Inc.consumer protection violation2018MA-BKG$250,000
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2017ME-INS$250,000
MetLife Investors USA Insurance Co. et al.MetLifeinsurance violation2006MN-FIN$250,000
Conseco Life Insurance Co.CNO Financialinsurance violation2014MN-FIN$250,000
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2016MO-INS$250,000
Monumental Life Insurance CompanyAegoninsurance violation2008NJ-DBI$250,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$250,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2000NY-DFS$250,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2015NY-DFS$250,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2007RI-FIN$250,000
MML Investors Services LLCMassachusetts Mutual Life Insuranceinvestor protection violation2012RI-FIN$250,000
ACE American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$250,000
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2016WA-FIN$250,000
State Farm Life Insurance Company et al.State Farm Insuranceinsurance violation2017MULTI-FIN$250,000
Franklin Advisers and Inc.Franklin Resourcesinvestor protection violation2020SEC$250,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2020SEC$250,000
PNC InvestmentsPNC Financial Servicesinvestor protection violation2009FINRA$250,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$250,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2008FINRA$250,000
Merrill LynchBank of Americainvestor protection violation2008FINRA$250,000
Wells Fargo Securities, LLCWells Fargoinvestor protection violation2007FINRA$250,000
HSBC BrokerageHSBCinvestor protection violation2007FINRA$250,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2006FINRA$250,000
RBC Dain Rauscher Inc.Royal Bank of Canadainvestor protection violation2006FINRA$250,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2006FINRA$250,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2005FINRA$250,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2004FINRA$250,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2004FINRA$250,000
MML Investor Services, Inc.Massachusetts Mutual Life Insuranceinvestor protection violation2004FINRA$250,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$250,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2004FINRA$250,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$250,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2004FINRA$250,000
U.S. Bancorp Piper JaffrayPiper Sandlerinvestor protection violation2002FINRA$250,000
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2020CT-SEC$250,000
LPL Financial, LLCLPL Financialinvestor protection violation2023MA-SEC$250,000
Pacific Life Insurance CompanyPacific Lifeinsurance violation2023MN-FIN$250,000
First Midwest BankOld National Bancorpbanking violation2022FED$253,500
American Modern Home Insurance CompanyMunich Reinsurance violation2017MULTI-FIN$255,000
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$255,500
Banco Popular de Puerto RicoPopular Inc.economic sanction violation2022OFAC$255,938
H & R BlockH&R Blockwage and hour violation2015WHD$257,577
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007CT-SEC$258,728
Western Sky Financial, LLC, WS Funding, LLC, CashCall, Inc., Delbert Services Corp.CashCall Inc.consumer protection violation2015MA-AG$259,115
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005CO-SEC$259,227
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.