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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.

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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2016SEC$500,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2016SEC$500,000
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$500,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2015SEC$500,000
Flagstar Bank, FSBNew York Community Bancorpbanking violation2016OCC$500,000
Compass BankPNC Financial Serviceswage and hour violation2015private lawsuit-federal$500,000
Rabobank N.A.Rabobankanti-money-laundering deficiencies2018USAO$500,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2018SEC$500,000
E*Trade Clearing LLCMorgan Stanleyinvestor protection violation2008SEC$500,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2005SEC$500,000
Dean Witter Reynolds Inc.Morgan Stanleyinvestor protection violation2002SEC$500,000
RBC Dain Rauscher IncorporatedRoyal Bank of Canadainvestor protection violation2002SEC$500,000
Deutsche Bank Trust Company AmericasDeutsche Bankinvestor protection violation2019SEC$500,000
Allianz Life Insurance Company of North AmericaAllianzinvestor protection violation2007MN-AG$500,000
Guardian Life Insurance Company of AmericaGuardian Life Insurancediscriminatory practices (non-employment)2009NY-AG$500,000
Merrill LynchBank of Americainvestor protection violation2002DE-AG$500,000
Midland Funding, LLCEncore Capital Groupconsumer protection violation2012MN-AG$500,000
Nationstar Mortgage LLC dba Mr. CooperMr. Cooper Groupmortgage abuses2018MA-AG$500,000
Santander Bank, N.A.Banco Santanderconsumer protection violation2015NY-AG$500,000
Metropolitan Life InsuranceMetLifekickbacks and bribery2008CA-MULTI$500,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2009CA-INS$500,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2017CA-DFPI$500,000
ACE Cash Express, Inc. dba ACE America's Cash ExpressACE Cash Expressconsumer protection violation2002FL-OFR$500,000
CashCall, Inc., Western Sky Financial, LLC, WS Funding, LLCCashCall Inc.payday lending violation2016FL-OFR$500,000
LPL Financial LLCLPL Financialinvestor protection violation2013MA-SEC$500,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2005ME-INS$500,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009ME-INS$500,000
First American Title Insurance Co.First American Financialinsurance violation2007MN-FIN$500,000
Merrill LynchBank of Americainvestor protection violation2002NH-BSR$500,000
Morgan StanleyMorgan Stanleyinvestor protection violation2004NH-BSR$500,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2010NJ-DBI$500,000
Oscar Garden State Insurance CorporationOscar Health Inc.insurance violation2018NJ-DBI$500,000
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2011TX-SEC$500,000
Insurance Company of North AmericaChubb Limitedinsurance violation2003WA-INS$500,000
Homesite Insurance GroupAmerican Family Insuranceinsurance violation2016MULTI-FIN$500,000
E-Trade Securities, LLCMorgan Stanleyinvestor protection violation2008FINRA$500,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2014FINRA$500,000
Charles Schwab & CompanyCharles Schwab Corp.investor protection violation2013FINRA$500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2012FINRA$500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2011FINRA$500,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$500,000
New England SecuritiesMetLifeinvestor protection violation2009FINRA$500,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2007FINRA$500,000
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2006FINRA$500,000
MetLife Securities, IncMetLifeinvestor protection violation2006FINRA$500,000
Southwest Securities Inc.Hilltop Holdingsinvestor protection violation2000FINRA$500,000
UBS AGUBSinvestor protection violation2021CFTC$500,000
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021MULTI-AG$500,000
LPL Financial LLCLPL Financialinvestor protection violation2021CT-SEC$500,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SEC$500,000
Transamerica Life Insurance Co.Aegoninsurance violation2022MN-FIN$500,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2017private lawsuit-federal$500,000
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2023NJ-AG$502,000
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2018SEC$513,194
Toronto-Dominion BankToronto-Dominion Bankeconomic sanction violation2017OFAC$516,105
Merrill Lynch & Co., Inc.Bank of Americawage and hour violation2008WHD$516,924
Time Insurance CompanyHaven Holdingsinsurance violation2013NC-INS$524,000
CitigroupCitigroupinvestor protection violation2012CFTC$525,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2009MULTI-FIN$525,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2010TX-INS$525,418
Chubb Group Of CompaniesChubb Limitedinsurance violation2011WA-INS$534,000
Cincinnati Insurance CompanyCincinnati Financialemployment discrimination2006private lawsuit-federal$537,500
Globe Life Insurance Company of New YorkGlobe Life Inc.insurance violation2017NY-DFS$538,375
M&T BankM&T Bankbanking violation2020FED$546,000
State Farm Bank, FSBState Farm Insurancebanking violation2020OCC$547,200
Mortgage Guaranty Insurance Corporation (MGIC)MGIC Investment Corp.mortgage abuses2012DOJ_RIGHTS$550,000
Citibank N.A.Citigroupdata submission deficiencies2017CFTC$550,000
John Hancock Life Insurance Co.Manulife Financialinvestor protection violation2014MA-AG$550,000
Allianz Life Insurance Company of North America et al.Allianzinsurance violation2016MN-FIN$550,000
Prudential Equity Group LLCPrudential Financialinvestor protection violation2004FINRA$550,000
Bank of America, N.A.Bank of Americaconsumer protection violation2018private lawsuit-federal$550,000
Credit Suisse Group AGUBSprice-fixing or anti-competitive practices2023private lawsuit-federal$550,000
Farmers Insurance Exchange and Mid-Century Insurance CompanyFarmers Insurance Exchangeinsurance violation2012VA-INS$555,130
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$558,000
Morgan Keegan & Co., Inc.Raymond James Financialinvestor protection violation2006SEC$558,806
Barclays Bank PLCBarclaysinvestor protection violation2016CFTC$560,000
M&T BankM&T Bankanti-money-laundering deficiencies2014USAO$560,000
Erie Insurance Company and Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$561,900
American Security Insurance Co.Assurantconsumer protection violation2015MA-AG$565,000
Western Sky Financial, LLC et al.CashCall Inc.consumer protection violation2014CO-AG$565,000
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$565,065
American Automobile Insurance Co.Allianzconsumer protection violation2011MA-AG$571,394
Farmers Insurance Exchange, Truck Insurance Exchange and Fire Insurance ExchangeFarmers Insurance Exchangetelecommunications violation2015MO-AG$575,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2007SC-SEC$575,000
Deutsche Bank SecuritiesDeutsche Bankinvestor protection violation2010FINRA$575,000
Oscar Insurance Corp.Oscar Health Inc.insurance violation2018NY-DFS$576,950
Wells FargoWells Fargoworkplace whistleblower retaliation2017OSHA$577,500
Deutsche Bank Trust Company AmericasDeutsche Bankeconomic sanction violation2020OFAC$583,100
AIG Property Casualty CompanyAmerican International Groupinsurance violation2020NY-DFS$583,900
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2007MULTI-FIN$584,622
State Street Research & Management CompanyBlackRockinvestor protection violation2005SEC$585,743
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2020SEC$586,000
JPMorgan Chase BankJPMorgan Chaseinvestor protection violation2012CFTC$600,000
Raymond James & AssociatesRaymond James Financialinvestor protection violation2016SEC$600,000
Mercury Air Centers Inc.Macquarieemployment discrimination2010EEOC$600,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupinvestor protection violation2017CFTC$600,000
EZCORP, Inc.EZCORP Inc.privacy violation2008TX-AG$600,000
Allstate Insurance Co.Allstateinsurance violation2016CA-MULTI$600,000
Infinity Insurance Co. et al.Kemperinsurance violation2005CA-INS$600,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2020TX-SEC$600,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2013VT-FIN$600,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.