Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$39,340,688,209275
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2004FINRA$400,000
BUCKEYE PIPE LINE COMPANY LP AND WEST SHORE PIPE LINE COMPANYIFM Investorsenvironmental violation2018EPA$400,000
Western Union Financial Services, Inc.Western Unioneconomic sanction violation2019OFAC$401,697
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007MD-AG$402,386
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2010PHMSA$402,500
Federal Insurance Co. et al.Chubb Limitedinsurance violation2003CA-INS$403,652
First Niagara Financial GroupKeyCorpwage and hour violation2013private lawsuit-federal$404,000
Washington Mutual, Inc.JPMorgan Chasewage and hour violation2005WHD$404,982
DeLage Landen Financial ServicesRabobankconsumer protection violation2004NY-AG$405,000
Morgan Stanley Capital Group Inc.Morgan Stanleyenvironmental violation2009EPA$405,000
MLD Mortgage, Inc. d/b/a The Money Store and Mortgage Loan DirectMLD Mortgage Inc. dba The Money Storeconsumer protection violation2016WA-FIN$407,103
First Union Securities, Inc.Wells Fargoinvestor protection violation2000SEC$408,931
American International Group et al.American International Groupinsurance violation2002CA-INS$411,500
Hanover Insurance Co.Hanover Insuranceconsumer protection violation2009MA-AG$415,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006ID-SEC$415,000
Berthel Fisher & Company Financial Services, IncBerthel Fisherinvestor protection violation2019NH-BSR$415,407
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.investor protection violation2015SEC$420,000
HSBC Auto FinanceHSBCwage and hour violation2009private lawsuit-federal$420,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2005CA-INS$425,000
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2012NJ-ENV$425,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$425,000
KeyBanc Capital Markets, Inc.KeyCorpinvestor protection violation2009FINRA$425,000
Pacific Life & Annuity CompanyPacific Lifeinsurance violation2020NY-DFS$425,533
The Insurance Company of the State of PennsylvaniaAmerican International Groupconsumer protection violation2015MA-AG$430,000
American Express National BankAmerican Expresseconomic sanction violation2022OFAC$430,500
SafecoLiberty Mutual Insuranceinsurance violation2009CT-INS$434,000
HSBC Finance CorporationHSBCconsumer protection violation2016DOJ_RIGHTS$434,500
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2005NH-BSR$435,000
ProEquities, IncDai-ichi Lifeinvestor protection violation2012MULTI-FIN$435,000
Fifth Third BankFifth Third Bancorpemployment discrimination2000OFCCP$440,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargoinvestor protection violation2016SEC$440,000
Keybanc Capital Markets Inc.KeyCorpinvestor protection violation2016SEC$440,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2023PHMSA$441,151
The Guardian Insurance & Annuity Company, Inc.Guardian Life Insuranceinsurance violation2019NY-DFS$442,589
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2006SEC$442,954
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2016MO-INS$444,000
Norinchukin BankNorinchukin Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$449,000
Societe GeneraleSociete Generaledata submission deficiencies2016CFTC$450,000
MetLifeMetLifewage and hour violation2013private lawsuit-federal$450,000
Wachovia Financial ServicesWells Fargowage and hour violation2010private lawsuit-federal$450,000
Gabelli Funds, LLCGamco Investors Inc.investor protection violation2009SEC$450,000
Smith Barney Fund Management LLCMorgan Stanleyinvestor protection violation2007SEC$450,000
AllianceBernstein, L.P.Equitable Holdingsinvestor protection violation2007SEC$450,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsinvestor protection violation2003SEC$450,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013NJ-AG$450,000
LPL Financial, LLCLPL Financialinvestor protection violation2018IN-SEC$450,000
Wells Fargo Clearing Services, LLCWells Fargoinvestor protection violation2019MA-SEC$450,000
John Alden Life Insurance CompanyAssurantinsurance violation2008NH-INS$450,000
Time Insurance CompanyHaven Holdingsinsurance violation2008NH-INS$450,000
Travelers Indemnity CompanyTravelersdiscriminatory practices (non-employment)2018private lawsuit-federal$450,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2017FINRA$450,000
Citibank N.A.Citigroupbanking violation2017OCC$452,000
The Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2019NY-DFS$455,584
Merrill LynchBank of Americainvestor protection violation2009DE-AG$459,000
Arch Insurance CompanyArch Capitalconsumer protection violation2010MD-AG$460,000
Freddie MacFreddie Mac (Federal Home Loan Mortgage Corporation)environmental violation2023RI-AG$460,000
Washington Mutual BankJPMorgan Chasewage and hour violation2011private lawsuit-federal$463,000
BUCKEYE PARTNERSIFM Investorsenvironmental violation2012EPA$463,745
Privilege Underwriters Reciprocal ExchangeTokio Marineeconomic sanction violation2023OFAC$466,200
TIAA - CREFTIAAwage and hour violation2006WHD$468,336
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2010SEC$470,147
American Family Mutual Insurance Co. and American Standard Insurance Co. of WisconsinAmerican Family Insuranceinsurance violation2015MO-INS$472,089
MML Investors Services, Inc.Massachusetts Mutual Life Insuranceinvestor protection violation2007FINRA$473,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015IN-SEC$475,000
Dean Witter Reynolds Inc.Morgan Stanleyinvestor protection violation2000SEC$476,702
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022NY-DFS$477,600
UBS Financial Services Inc.UBSinvestor protection violation2015SEC$480,000
Spencer Press of MaineChatham Asset Managementemployment discrimination2004private lawsuit-federal$480,552
Jackson National Life Insurance Co.Jackson Financialinsurance violation2008CT-INS$483,000
Jackson National Life Insurance CoJackson Financialinvestor protection violation2008CT-AG$484,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2016DE-INS$487,000
First American Financial CorporationFirst American Financialprivacy violation2021SEC$487,616
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2014CFTC$490,000
Generali U.S. BranchAssicurazioni Generaliinsurance violation2017MULTI-FIN$492,000
James B. Nutter & CompanyJames B. Nutter & Companymortgage abuses2012MULTI-FIN$492,050
OppenheimerFunds Distributor, Inc.Invescoinvestor protection violation2007CO-SEC$494,500
Morgan Stanley & Co., Inc.Morgan Stanleyinvestor protection violation2000FINRA$495,000
CIBC World Markets CorporationCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$496,598
LPL Financial LLCLPL Financialinvestor protection violation2019AK-DBS$499,000
LPL Financial LLCLPL Financialinvestor protection violation2019MD-SEC$499,000
Associated Bank, National AssociationAssociated Banc-Corpbanking violation2014OCC$500,000
Old National BankOld National Bancorpbanking violation2014OCC$500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015SEC$500,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2015SEC$500,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2015SEC$500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2015SEC$500,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2015SEC$500,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2015SEC$500,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015SEC$500,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2015SEC$500,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015SEC$500,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americadata submission deficiencies2007CFTC$500,000
Morgan StanleyMorgan Stanleyinvestor protection violation2009SEC$500,000
UBS PaineWebber, Inc.UBSinvestor protection violation2003SEC$500,000
Barclays Bank PLCBarclaysdata submission deficiencies2016CFTC$500,000
Park National CorporationPark National Corp.accounting fraud or deficiencies2016SEC$500,000
HomeStreet IncHomeStreet Inc.accounting fraud or deficiencies2017SEC$500,000
Vanguard Group, Inc.Vanguard Groupemployment discrimination2008EEOC$500,000
Morgan StanleyMorgan Stanleyinvestor protection violation2017CFTC$500,000
Omega AdvisorsOmega AdvisorsForeign Corrupt Practices Act2007USAO$500,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2016SEC$500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.