Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $395,312,528,119
Number of Records: 8,003
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$87,320,969,499333
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,618,169,231268
Citigroup$27,081,211,792183
Deutsche Bank$20,015,467,563100
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,924,502,443207
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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Mercury Casualty CompanyMercury General Corporationinsurance violation2019NY-DFS$31,000
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2007VA-INS$25,600
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2010VA-INS$26,942
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2018VA-INS$173,650
Mercury Casualty CompanyMercury General Corporationinsurance violation2020NY-DFS$11,000
MetLife BankMetLifebanking violation2013OCC$78,536,455
METLIFE, INCMetLifebanking violation2012FED$3,200,000
MetLife Home Loans LLCMetLifeFalse Claims Act and related2015DOJ_CIVIL$123,500,000
General American Life Insurance Company, Inc.MetLifeFalse Claims Act and related2002DOJ_CIVIL$76,000,000
General American Life Insurance CompanyMetLifeinvestor protection violation2007SEC$3,300,000
MetLife, Inc.MetLifewage and hour violation2013WHD$24,296
Metropolitan Life Insurance CompanyMetLifeFamily and Medical Leave Act2009WHD$6,375
MetLife Financial ServicesMetLifelabor relations violation2002NLRB$18,500
Metropolitan Life Insurance CompanyMetLifekickbacks and bribery2010USAO$13,500,000
MetLifeMetLifewage and hour violation2015private lawsuit-federal$1,970,000
MetLifeMetLifewage and hour violation2013private lawsuit-federal$450,000
MetLifeMetLifewage and hour violation2013private lawsuit-federal$3,003,000
MetLifeMetLifewage and hour violation2011private lawsuit-federal$2,000,000
MetLifeMetLifewage and hour violation2011private lawsuit-federal$2,350,000
MetLifeMetLifewage and hour violation2009private lawsuit-federal$7,400,000
Metropolitan Life Insurance CompanyMetLifeinvestor protection violation2006SEC$250,000
New England Securities Corp.MetLifeinvestor protection violation2006SEC$2,614,865
MetLife SecuritiesMetLifeemployment discrimination2017private lawsuit-federal$32,500,000
Metropolitan LifeMetLifeemployment discrimination2003private lawsuit-federal$10,000,000
Metropolitan LifeMetLifebenefit plan administrator violation2012private lawsuit-federal$350,000
MetLifeMetLifeinsurance violation2012MULTI-AG$40,000,000
Metropolitan Life Insurance Co.MetLifeprivacy violation2012CT-AG$10,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2004MA-AG$150,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2000MA-AG$1,200,000
Metropolitan Life Insurance CompanyMetLifeconsumer protection violation2006NY-AG$19,000,000
Metropolitan Life Insurance CompanyMetLifeeconomic sanction violation2011OFAC$22,500
Metropolitan Life InsuranceMetLifekickbacks and bribery2008CA-MULTI$500,000
Metropolitan Life Insurance Company, Inc.MetLifeinsurance violation2014NY-MANDA$10,000,000
MetLife, Inc.MetLifeinvestor protection violation2019SEC$10,000,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2007CA-INS$700,000
MetLife Securities, Inc.MetLifeinvestor protection violation2012DC-DISB$25,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2012FL-OFR$103,000
MetLife Securities, Inc.MetLifeinvestor protection violation2010IL-SEC$135,000
MetLife, Inc.MetLifeinvestor protection violation2018MA-SEC$1,000,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2011MD-INS$125,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$11,400
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$175,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$5,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2015MD-INS$9,800
Metropolitan Life Insurance Co.MetLifeinsurance violation2017MD-INS$11,300
Metropolitan Life Insurance Co.MetLifeinsurance violation2003MN-FIN$10,000
MetLife Investors USA Insurance Co. et al.MetLifeinsurance violation2006MN-FIN$250,000
MetLife Investors USA Insurance Co. et al.MetLifeinsurance violation2012MN-FIN$200,000
MetLife, Inc. et al.MetLifeinsurance violation2014MN-FIN$1,500,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2006MO-INS$12,162
MetLife Securities, Inc.MetLifeinvestor protection violation2006MS-SEC$50,000
Metlife Investors USA Insurance CoMetLifeinvestor protection violation2012MT-FIN$5,000
MetLife Investors USA Insurance CompanyMetLifeinsurance violation2009NH-INS$54,524
MetLifeMetLifeinsurance violation2014NY-DFS$50,000,000
MetLife Insurance CompanyMetLifeinsurance violation2019NY-DFS$208,750,000
MetLife SecuritiesMetLifeinvestor protection violation2005OR-FIN$12,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2011OR-FIN$5,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2019RI-FIN$15,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2015TX-INS$20,000
GENERAL AMERICAN LIFE INSURANCEMetLifeinsurance violation2006VA-INS$10,000
METROPOLITAN LIFE INSURANCEMetLifeinsurance violation2010VA-INS$8,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2011WA-INS$10,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2016WA-INS$100,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2018WA-INS$7,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2005WI-INS$5,000
MetLifeMetLifediscriminatory practices (non-employment)2002NY-DFS$160,000,000
MetLife Securities, Inc.MetLifeinvestor protection violation2016FINRA$25,000,000
MetLife Securities, Inc.MetLifeinvestor protection violation2015FINRA$649,748
MetLife Securities, Inc.MetLifeinvestor protection violation2009FINRA$1,200,000
New England SecuritiesMetLifeinvestor protection violation2009FINRA$500,000
MetLife Securities, IncMetLifeinvestor protection violation2006FINRA$500,000
MetLife, Inc.MetLifeinvestor protection violation2006FINRA$5,000,000
Metropolitan Life Insurance Co.MetLifeinvestor protection violation2004FINRA$375,000
New England SecuritiesMetLifeinvestor protection violation2004FINRA$200,000
Metlife Pet Insurance Services LLC fka Petfirst Healthcare LLCMetLifeinsurance violation2023NY-DFS$129,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2010private lawsuit-federal$50,000,000
Metlife Human ResourcesMetLifewage and hour violation2014MI-LEO$8,000
Metlife SecuritiesMetLifewage and hour violation2014MI-LEO$8,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2022NJ-DBI$142,800
American Life Insurance CompanyMetLifeeconomic sanction violation2024OFAC$178,421
Metropolitan Life Insurance CompanyMetLifeinsurance violation2023CT-INS$20,000
Mortgage Guaranty Insurance Corporation (MGIC)MGIC Investment Corp.mortgage abuses2012DOJ_RIGHTS$550,000
Midfirst BankMidFirst Bankbanking violation2019OCC$35,000
MidFirst BankMidFirst Bankconsumer protection violation2014private lawsuit-federal$2,600,000
MIDFIRST BANKMidFirst Bankworkplace safety or health violation2023OSHA$5,581
Midland States BankMidland States Bancorpbanking violation2013FED$5,645
Midland States BancorpMidland States Bancorpdiscriminatory practices (non-employment)2014HUD$15,950,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupinvestor protection violation2017CFTC$600,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupinvestor protection violation2016SEC$20,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupeconomic sanction violation2012OFAC$8,571,634
Bank of Tokyo Mitsubishi-UFJ, LtdMitsubishi UFJ Financial Groupeconomic sanction violation2013NY-DFS$250,000,000
Bank of Tokyo Mitsubishi UFJMitsubishi UFJ Financial Groupeconomic sanction violation2014NY-DFS$315,000,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupprice-fixing or anti-competitive practices2018private lawsuit-federal$10,500,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupprice-fixing or anti-competitive practices2018private lawsuit-federal$30,000,000
Mizuho Financial GroupMizuho Financialinvestor protection violation2012SEC$127,500,000
Mizuho Securities USA Inc.Mizuho Financialinvestor protection violation2013CFTC$175,000
Mizuho Securities USA LLCMizuho Financialinvestor protection violation2018SEC$1,250,000
Mizuho Bank, Ltd.Mizuho Financialinvestor protection violation2018CFTC$250,000
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2021CFTC$1,500,000
Mizuho Bank LtdMizuho Financialprice-fixing or anti-competitive practices2019private lawsuit-federal$13,083,333
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2023CFTC$6,847,182
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.