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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
Western Sky Financial, CashCall Inc. and WS FundingCashCall Inc.consumer protection violation2016AR-AG$750,000
Bank of New York MellonBank of New York Melloninvestor protection violation2019CFTC$750,000
Midland Credit Management, Inc.Encore Capital Groupconsumer protection violation2012AZ-DIFI$750,000
Stewart Title of California, Inc.Stewart Information Servicesinsurance violation2005CA-INS$750,000
Infinity Insurance CompaniesKemperinsurance violation2007CA-INS$750,000
American Bankers Life Assurance Company of Florida et al.Assurantinsurance violation2008CA-INS$750,000
Conseco Life Insurance Co.CNO Financialinsurance violation2007IA-INS$750,000
QBE Holdings, Inc. et al.QBE Insuranceinsurance violation2017MN-FIN$750,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2007ND-INS$750,000
Edward Jones & Co. LPJones Financialinvestor protection violation2014NH-BSR$750,000
LPL Financial, LLCLPL Financialinvestor protection violation2015NH-BSR$750,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2014NJ-DBI$750,000
HealthNow New York Inc.Highmark Inc.insurance violation2016NY-DFS$750,000
QBE Insurance Corp.QBE Insuranceinsurance violation2018NY-DFS$750,000
Foremost Insurance Group et al.Zurich Insuranceinsurance violation2015SD-INS$750,000
Ace American Insurance CompanyChubb Limitedinsurance violation2020WA-INS$750,000
UVEST Financial Services Group, Inc.LPL Financialinvestor protection violation2013MULTI-FIN$750,000
LPL Financial LLCLPL Financialinvestor protection violation2016FINRA$750,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013FINRA$750,000
Comerica Securities, Inc.Comericainvestor protection violation2008FINRA$750,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2020NY-DFS$750,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$750,000
MUFG Bank, Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2023private lawsuit-federal$750,000
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2023MA-SEC$750,000
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$754,148
Discover Financial ServicesDiscover Financial Servicesconsumer protection violation2015MO-AG$760,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2018MD-AG$760,000
United States Life Insurance Company in the City of New YorkAmerican International Groupconsumer protection violation2011MA-AG$760,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2011MO-SEC$765,993
American Security Insurance Co.Assurantconsumer protection violation2019MS-AG$767,394
JPMorgan ChaseJPMorgan Chasewage and hour violation2013private lawsuit-federal$770,000
Credit Suisse First Boston LLCUBSinvestor protection violation2004FINRA$770,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019FINRA$772,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2017private lawsuit-federal$775,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2014FINRA$775,000
Fidelity National Financial, Inc.Fidelity National Financialwage and hour violation2005WHD$778,391
AMERIPRISE FINANCIAL SERVICESAmeriprise Financialinvestor protection violation2008VA-SEC$780,000
Bankers Life and Casualty Co.CNO Financialinvestor protection violation2010MO-SEC$789,600
Barclays Capital Inc.Barclaysinvestor protection violation2016CFTC$800,000
MB FinancialFifth Third Bancorpwage and hour violation2015private lawsuit-federal$800,000
Bank of Nova ScotiaScotiabankinvestor protection violation2018CFTC$800,000
SG Americas Securities LLC (Societe Generale)Societe Generaleinvestor protection violation2018SEC$800,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2001SEC$800,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2015CA-INS$800,000
New York Life Insurance Co. et al.New York Life Insuranceinsurance violation2016MN-FIN$800,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2019VT-FIN$800,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2017FINRA$800,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsinvestor protection violation2014FINRA$800,000
Morgan Stanley & Co., Inc.Morgan Stanleyinvestor protection violation2010FINRA$800,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2006FINRA$800,000
SG Cowen, LLCToronto-Dominion Bankinvestor protection violation2004FINRA$800,000
Ferris, Baker Watts, Inc.Royal Bank of Canadainvestor protection violation2009SEC$800,656
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$806,000
Compass BankPNC Financial Serviceswage and hour violation2005WHD$810,122
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsinvestor protection violation2019SEC$810,785
Wells Fargo SecuritiesWells Fargoinvestor protection violation2019SEC$812,500
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$815,218
National City Commercial Capital CorporationPNC Financial Servicesconsumer protection violation2006NY-AG$817,700
Morgan StanleyMorgan Stanleyinvestor protection violation2012FINRA$817,754
HSBCHSBCconsumer protection violation2015MO-AG$825,000
H&R Block Financial Advisors, Inc.H&R Blockinvestor protection violation2004FINRA$825,000
Amica Mutual Insurance Co.Amica Mutual Insuranceconsumer protection violation2012MA-AG$837,384
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2011SEC$850,000
NationwideNationwidewage and hour violation2013private lawsuit-federal$850,000
Oppenheimer & Co. IncOppenheimer Holdingsinvestor protection violation2009SEC$850,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2012NY-AG$850,000
TD Bank, N.A.Toronto-Dominion Bankprivacy violation2014MULTI-AG$850,000
UBS Securities LLCUBStoxic securities abuses2016VA-AG$850,000
NatWest Markets PlcNatWest Group PLCinvestor protection violation2019CFTC$850,000
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2016MO-SEC$850,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016FINRA$850,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2006FINRA$850,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2022CFTC$850,000
UBSUBSbanking violation2023TX-AG$850,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2013NY-DFS$852,418
World Group Securities, Inc.Aegoninvestor protection violation2010AZ-CC$853,501
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2018SEC$860,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2021SEC$863,326
De Lage Landen Financial Services, Inc.Rabobankconsumer protection violation2005MULTI-AG$872,000
Fidelity National Financial, Inc.Fidelity National Financialconsumer protection violation2013CA-MULTI$873,588
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2017NY-DFS$873,918
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2004SEC$875,000
Morgan Keegan & Co., Inc.Raymond James Financialinvestor protection violation2004SEC$875,000
LendingTree LLCLendingTreeprivacy violation2024private lawsuit-federal$875,000
Allstate Insurance CompanyAllstateinsurance violation2010TX-INS$879,510
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$880,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2005FINRA$888,000
LPL Financial LLCLPL Financialinvestor protection violation2021SEC$891,202
Flagstar BankNew York Community Bancorpwage and hour violation2015private lawsuit-federal$895,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CFPB$900,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2017CFTC$900,000
Freedom MortgageFreedom Mortgagewage and hour violation2015private lawsuit-federal$900,000
E-TradeMorgan Stanleywage and hour violation2008private lawsuit-federal$900,000
American International GroupAmerican International Groupwage and hour violation2009MA-AG$900,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpbanking violation2011FDIC$900,000
Safeco Insurance CompanyLiberty Mutual Insuranceinsurance violation2013CA-INS$900,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2017IL-SEC$900,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016MI-SEC$900,000
John Hancock Life Insurance Co. (USA) et al.Manulife Financialinsurance violation2015MN-FIN$900,000
AXA Equitable Life Insurance Co. et al.Equitable Holdingsinsurance violation2016MN-FIN$900,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2016NH-BSR$900,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.