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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $394,610,993,640
Number of Records: 7,983
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$87,299,969,499332
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,617,269,231267
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,909,502,443206
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
BUCKEYE PARTNERSIFM Investorsenvironmental violation2009IL-ENV$354,540
Wheelabrator Claremont Company, L.P.Macquarieenergy market violation2018FERC$357,231
Bear Stearns Companies Inc.JPMorgan Chasewage and hour violation2003WHD$358,974
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2016SEC$360,000
The Hartford et al.Hartford Financial Servicesinsurance violation2022ID-INS$360,000
Tokio Marine America Insurance CompanyTokio Marineinsurance violation2023NY-DFS$360,000
Simmons First National BankSimmons First National Corp.employment discrimination2010OFCCP$360,187
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2013CA-INS$360,522
American General Life Insurance CompanyAmerican International Groupinsurance violation2020MA-AG$363,000
Investment Centers of America, Inc.LPL Financialinvestor protection violation2005FINRA$363,500
Fidelity National Title Co.Fidelity National Financialinsurance violation2009CA-INS$365,000
AIU Insurance CompanyAmerican International Groupinsurance violation2002MA-INS$365,615
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2003HUD$370,000
UBS Financial Services, Inc.UBSinvestor protection violation2007FINRA$370,000
Synagro Northeast, LLCGoldman Sachsair pollution violation2021EPA$373,660
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialinvestor protection violation2004SEC$375,000
TD BankToronto-Dominion Bankwage and hour violation2010private lawsuit-federal$375,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018NJ-AG$375,000
QBE InsuranceQBE Insuranceconsumer protection violation2016MA-AG$375,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2007NH-BSR$375,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2010FINRA$375,000
Metropolitan Life Insurance Co.MetLifeinvestor protection violation2004FINRA$375,000
Bank of Nova ScotiaScotiabankinvestor protection violation2024SEC$375,000
BB&T Securities, LLCTruist Financialinvestor protection violation2019SEC$376,059
Towers PerrinWillis Towers Watsonwage and hour violation2004WHD$376,093
Prudential Securities, Inc.Wells Fargoinvestor protection violation2003SEC$382,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019MA-SEC$382,500
USAA Federal Savings BankUSAAbanking violation2020OCC$382,500
Highmark BCBSD Inc.Highmark Inc.insurance violation2016DE-INS$383,000
Cash America West, Inc. and First Cash, Inc.FirstCashwage and hour violation2022WA-SOLS$383,873
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2008NJ-AG$387,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2021SEC$389,425
Citigroup Global MarketsCitigroupwage and hour violation2011private lawsuit-federal$394,220
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2012MA-AG$395,000
KeyBanc Capital Markets Inc.KeyCorpinvestor protection violation2023SEC$397,135
Nationwide Mutual Fire Insurance CompanyNationwideinsurance violation2019VA-INS$397,667
Old Republic Title Co. and Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2010CA-INS$399,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2015SEC$400,000
Wells Fargo Bank, N.A.Wells Fargoinvestor protection violation2016CFTC$400,000
BMO Harris BankBank of Montrealemployment discrimination2013EEOC$400,000
Great American LifeMassachusetts Mutual Life Insuranceinsurance violation2016MULTI-AG$400,000
JPMorgan Chase and Co.JPMorgan Chaseprice-fixing or anti-competitive practices2014WV-AG$400,000
JPMorgan Chase BankJPMorgan Chasemortgage abuses2015MD-AG$400,000
CashCall, Inc. and Western Sky Financial L.L.C.CashCall Inc.payday lending violation2014CT-BKG$400,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MA-SEC$400,000
Merrill LynchBank of Americaprivacy violation2014NH-BSR$400,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2016NJ-DBI$400,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2008TX-SEC$400,000
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2015TX-SEC$400,000
LendingClub CorporationLendingClub Corp.investor protection violation2020TX-SEC$400,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020CT-SEC$400,000
Thrivent Investment Management Inc.Thrivent Financialinvestor protection violation2020IL-SEC$400,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2009FINRA$400,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors CorporationFidelity Investmentsinvestor protection violation2007FINRA$400,000
Banc One Securities CorporationJPMorgan Chaseinvestor protection violation2005FINRA$400,000
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 Investorspipeline safety 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 Investorsair pollution 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 Investorspipeline safety 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 Generaleinvestor protection violation2016CFTC$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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.