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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
Bankers Life and Casualty CompanyCNO Financialinsurance violation2013VT-FIN$600,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2020SEC$600,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2015FINRA$600,000
Northern Trust SecuritiesNorthern Trustinvestor protection violation2011FINRA$600,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2011FINRA$600,000
ScottradeCharles Schwab Corp.anti-money-laundering deficiencies2009FINRA$600,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009FINRA$600,000
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2017private lawsuit-federal$600,000
J.P. Morgan Chase Retirement PlanJPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$604,957
Compass BankPNC Financial Serviceseconomic sanction violation2010OFAC$607,500
Buckeye Texas Processing LLCIFM Investorsenvironmental violation2020TX-ENV$607,617
Regions FinancialRegions Financialwage and hour violation2017private lawsuit-federal$620,634
Nyrstar ClarksvilleTrafiguraenvironmental violation2019TN-ENV$622,389
JP MorganJPMorgan Chaseinvestor protection violation2012FINRA$623,376
TD BankToronto-Dominion Bankprivacy violation2014MA-AG$625,000
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2010VA-SEC$625,000
Minnesota Life Insurance Company et al.Securian Financialinsurance violation2016MULTI-FIN$625,000
Morgan Keegan and Co. Inc.Raymond James Financialbenefit plan administrator violation2012EBSA$633,715
Salomon Smith BarneyMorgan Stanleyemployment discrimination2001EEOC$635,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2002MA-INS$639,576
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2022VT-FIN$640,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019SEC$647,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019NY-DFS$648,122
MetLife Securities, Inc.MetLifeinvestor protection violation2015FINRA$649,748
JPMorgan SecuritiesJPMorgan Chasedata submission deficiencies2014CFTC$650,000
CitiMortgage, Inc.Citigroupconsumer protection violation2006HUD$650,000
Nationwide Life InsuranceNationwideconsumer protection violation2005MA-AG$650,000
Unum Life Insurance Co.UnumFalse Claims Act and related2005MA-AG$650,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2019CFTC$650,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SC-SEC$650,000
American Home Assurance Company et al.American International Groupinsurance violation2010TX-INS$650,000
Countrywide Home Loans Inc.Bank of Americaconsumer protection violation2010WA-FIN$650,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2015FINRA$650,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$650,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2010FINRA$650,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010FINRA$650,000
Wachovia Securities LLCWells Fargoinvestor protection violation2004FINRA$650,000
StoneX Markets LLCStoneX Groupinvestor protection violation2023CFTC$650,000
Bank of AmericaBank of Americawage and hour violation2010private lawsuit-federal$661,392
Credit SuisseUBSinvestor protection violation2016CFTC$665,000
OppenheimerFunds Distributor, Inc.Invescoinvestor protection violation2007WA-FIN$669,500
Bear StearnsJPMorgan Chasewage and hour violation2010private lawsuit-federal$675,000
Bank of AmericaBank of Americamortgage abuses2015MA-AG$675,000
CitigroupCitigroupmortgage abuses2015MA-AG$675,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2015NY-AG$675,000
JP Morgan ChaseJPMorgan Chasemortgage abuses2015MA-AG$675,000
Wells Fargo BankWells Fargomortgage abuses2015MA-AG$675,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016FINRA$675,000
SG Americas Securities, Inc.Societe Generaleinvestor protection violation2013FINRA$675,000
UBS Financial ServicesUBSinvestor protection violation2011IN-SEC$677,000
ALLIED PROPERTY & CASUALTY INSURANCE CO.Nationwideinsurance violation2017VA-INS$678,398
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2005HUD$680,000
Allstate Insurance CompanyAllstateinsurance violation2010NC-INS$680,718
Goldman SachsGoldman Sachsinvestor protection violation2012FINRA$683,997
Wells FargoWells Fargowage and hour violation2017private lawsuit-federal$685,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsinvestor protection violation2015DE-SEC$685,000
Jefferson Pilot Variable CorporationLincoln Nationalinvestor protection violation2005FINRA$688,697
Watson Wyatt & CompanyWillis Towers WatsonFalse Claims Act and related2005USAO$689,828
Ferris, Baker Watts LLCRoyal Bank of Canadainvestor protection violation2010FINRA$690,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010IN-SEC$692,000
UBS Financial Services, Inc.UBSinvestor protection violation2007MO-SEC$697,210
Springstone Financial, LLCLendingClub Corp.consumer protection violation2015CFPB$700,000
Cantor FitzgeraldCantor Fitzgeraldinvestor protection violation2012CFTC$700,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2012CFTC$700,000
BMO FinancialBank of Montrealwage and hour violation2016private lawsuit-federal$700,000
UBS Securities LLCUBSinvestor protection violation2005SEC$700,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2005SEC$700,000
Wilmington Trust CorporationM&T Bankemployment discrimination2018EEOC$700,000
Morgan Stanley DWMorgan Stanleyinvestor protection violation2005DE-AG$700,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006CA-INS$700,000
UnumProvident Corp. et al.Unuminsurance violation2006CA-INS$700,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2007CA-INS$700,000
HealthNow New York Inc.Highmark Inc.insurance violation2013NY-DFS$700,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2010FINRA$700,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$700,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004FINRA$700,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americaprivacy violation2023NH-BSR$700,000
Navient CorporationNavientemployment discrimination2023OFCCP$700,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2023SEC$709,971
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2009MULTI-FIN$720,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2018MULTI-FIN$720,000
TitleMax of California, Inc.TMX Financeconsumer protection violation2019CA-DFPI$720,140
HSBC Securities (USA) Inc.HSBCinvestor protection violation2020SEC$725,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2018MULTI-FIN$725,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2012FINRA$725,000
Merrill, Lynch, Pierce, Fenner and Smith, Inc.Bank of Americainvestor protection violation2010NJ-AG$728,260
UBS Securities LLCUBSinvestor protection violation2010AK-DBS$733,465
USAAUSAAwage and hour violation2008private lawsuit-federal$738,423
Capital OneCapital One Financialconsumer protection violation2015MO-AG$740,000
Wells Fargo BankWells Fargoconsumer protection violation2011CT-AG$741,465
Capital City Mortgage CorporationCapital City Bank Groupconsumer protection violation2005FTC$750,000
City National BankRoyal Bank of Canadabanking violation2005OCC$750,000
Banc of America Securities LLCBank of Americainvestor protection violation2006SEC$750,000
Deutsche Asset Management, Inc.Deutsche Bankinvestor protection violation2003SEC$750,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2016CFTC$750,000
NatWest Markets PlcNatWest Group PLCinvestor protection violation2018CFTC$750,000
Deutsche Bank Trust Company AmericasDeutsche Bankinvestor protection violation2007SEC$750,000
The Bank Of New YorkBank of New York Melloninvestor protection violation2007SEC$750,000
Morgan StanleyMorgan Stanleyemployment discrimination2008private lawsuit-federal$750,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2019DOJ_RIGHTS$750,000
Western Sky Financial, CashCall Inc. and WS FundingCashCall Inc.consumer protection violation2016AR-AG$750,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.