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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 TypeYear sort iconAgencyPenalty Amount
UBS AGUBSprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
The Park National BankPark National Corp.banking violation2011OCC$30,415
Wells Fargo Bank, National AssociationWells Fargobanking violation2011OCC$34,500,000
First Niagara Bank, National AssociationKeyCorpbanking violation2011OCC$10,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2011OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2011OCC$2,000,000
Zions First National BankZions Bancorporationbanking violation2011OCC$8,000,000
Bank of Hampton RoadsAtlantic Union Banksharesbanking violation2011FED$33,600
Wells Fargo & CompanyWells Fargobanking violation2011FED$85,000,000
PlainsCapital Bank and PrimeLendingHilltop Holdingsbanking violation2011FED$30,780
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LPBank of Americamortgage abuses2011DOJ_CIVIL$20,000,000
Saxon Mortgage Services Inc.Ocwen Financialmortgage abuses2011DOJ_CIVIL$2,350,000
Aon CorporationAonForeign Corrupt Practices Act2011DOJ_CRIMINAL$1,760,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2011SEC$3,300,000
UBS Securities LLCUBSinvestor protection violation2011SEC$8,000,000
CitigroupCitigrouptoxic securities abuses2011SEC$285,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2011SEC$30,400,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2011SEC$850,000
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2011SEC$200,000,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2011SEC$153,600,000
Wells Fargo Securities LLCWells Fargotoxic securities abuses2011SEC$11,000,000
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2011SEC$10,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011SEC$118,000,000
Aon CorporationAonForeign Corrupt Practices Act2011SEC$14,545,020
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,300,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,520,000,000
CitigroupCitigrouptoxic securities abuses2011NCUA$20,500,000
Deutsche Bank SecuritiesDeutsche Banktoxic securities abuses2011NCUA$145,000,000
Merrill LynchBank of Americainvestor protection violation2011CFTC$350,000
Countrywide Financial CorporationBank of Americamortgage abuses2011DOJ_RIGHTS$335,000,000
Wells Fargo & CompanyWells FargoAmericans with Disabilities Act2011DOJ_RIGHTS$16,055,000
Citizens Republic Bancorp Inc.Huntington Bancsharesbanking violation2011DOJ_RIGHTS$3,600,000
JPMorgan Chase BankJPMorgan Chaseeconomic sanction violation2011OFAC$88,300,000
AXA RosenbergAXAinvestor protection violation2011SEC$242,000,000
Merrill LynchBank of Americainvestor protection violation2011SEC$10,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2011CFTC$100,000
Prospect Mortgage, LLCHomebridge Financial Serviceskickbacks and bribery2011HUD$3,100,000
Fidelity National Financial, Inc.Fidelity National Financialkickbacks and bribery2011HUD$4,500,000
U.S. Bank, National AssociationU.S. Bancorpmortgage abuses2011HUD$1,200,000
Charles Schwab BankCharles Schwab Corp.discriminatory practices (non-employment)2011HUD$30,000
Bank of the WestBank of Montrealemployment discrimination2011EEOC$48,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceemployment discrimination2011OFCCP$18,505
FIRST NIAGARA FINANCIAL GROUP, INC.KeyCorpbenefit plan administrator violation2011EBSA$10,001
FIRST NBC BANKHancock Whitney Corp.benefit plan administrator violation2011EBSA$10,001
Popular Mortgage, Inc.Popular Inc.wage and hour violation2011WHD$153,736
Popular Mortgage, Inc.Popular Inc.wage and hour violation2011WHD$122,762
Branch Banking and Trust CompanyTruist Financialwage and hour violation2011WHD$12,314
BB&TTruist Financialwage and hour violation2011WHD$43,662
The Federal Home Loan Mortgage CorporationFreddie Mac (Federal Home Loan Mortgage Corporation)wage and hour violation2011WHD$24,153
Nationwide InsuranceNationwidewage and hour violation2011WHD$13,331
Wells Fargo Bank NAWells Fargowage and hour violation2011WHD$31,770
Farmer's InsuranceZurich Insurancewage and hour violation2011WHD$1,520,705
Bank of New York Mellon (Shanghai Branch)Bank of New York Mellonexport control violation2011BIS$30,000
UNUMUnumwage and hour violation2011WA-DLI$15,070
Prudential InsurancePrudential Financialwage and hour violation2011private lawsuit-federal$1,016,500
Washington Mutual BankJPMorgan Chasewage and hour violation2011private lawsuit-federal$463,000
Hartford Fire InsuranceHartford Financial Serviceswage and hour violation2011private lawsuit-federal$1,200,000
Ameriprise FinancialAmeriprise Financialwage and hour violation2011private lawsuit-federal$185,000
MetLifeMetLifewage and hour violation2011private lawsuit-federal$2,000,000
American General Finance Management CorporationOneMain Holdingswage and hour violation2011private lawsuit-federal$1,700,000
Oppenheimer & Co.Oppenheimer Holdingswage and hour violation2011private lawsuit-federal$2,375,901
Wells FargoWells Fargowage and hour violation2011private lawsuit-federal$6,660,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2011private lawsuit-federal$42,000,000
AonAonwage and hour violation2011private lawsuit-state$10,500,000
Wells Fargo BankWells Fargowage and hour violation2011private lawsuit-federal$100,000
MetLifeMetLifewage and hour violation2011private lawsuit-federal$2,350,000
Arthur J. GallagherArthur J. Gallagher & Co.wage and hour violation2011private lawsuit-federal$3,900,000
Wells FargoWells Fargowage and hour violation2011private lawsuit-federal$6,720,000
Wells FargoWells Fargowage and hour violation2011private lawsuit-federal$6,900,000
Citigroup Global MarketsCitigroupwage and hour violation2011private lawsuit-federal$394,220
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSinvestor protection violation2011SEC$2,500,000
BNY Mellon Securities LLCBank of New York Melloninvestor protection violation2011SEC$24,045,447
Independent BankIndependent Bank Corp. (Michigan)benefit plan administrator violation2011EBSA$95,700
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americabenefit plan administrator violation2011EBSA$170,854
Wells Fargo AdvisorsWells Fargoemployment discrimination2011private lawsuit-federal$32,000,000
Willis GroupWillis Towers Watsonemployment discrimination2011private lawsuit-federal$11,595,038
Bank of America CorpBank of Americabenefit plan administrator violation2011private lawsuit-federal$21,000,000
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2011private lawsuit-federal$17,500,000
Wachovia CorporationWells Fargobenefit plan administrator violation2011private lawsuit-federal$12,350,000
AXA Equitable Life Insurance CompanyEquitable Holdingsbenefit plan administrator violation2011private lawsuit-federal$2,500,000
Huntington Bancshares Inc.Huntington Bancsharesbenefit plan administrator violation2011private lawsuit-federal$1,450,000
LaSalle BankBank of Americabenefit plan administrator violation2011private lawsuit-federal$13,500,000
Capital One Bank (USA) N.A.Capital One Financialbankruptcy professional violation2011DOJ_UTP$2,350,000
ACE GroupChubb Limitedprice-fixing or anti-competitive practices2011OH-AG$1,970,000
American Automobile Insurance Co.Allianzconsumer protection violation2011MA-AG$571,394
Bank of New York Mellon Corp.Bank of New York Melloninvestor protection violation2011MULTI-AG$1,300,000
Broadspire Services, Inc.Crawford & Co.workplace safety or health violation2011MO-AG$28,500
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011NJ-AG$1,057,996
Discover BankDiscover Financial Servicesconsumer protection violation2011MN-AG$2,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2011NJ-AG$959,794
H&R Block, Inc.H&R Blockdiscriminatory practices (non-employment)2011MA-AG$125,000,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2011MULTI-AG$3,000,000
JPMorgan ChaseJPMorgan Chaseprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2011NJ-AG$1,560,000
Morgan Stanley Mortgage Capital HoldingsMorgan Stanleytoxic securities abuses2011NV-AG$28,200,000
Premier Insurance Company of MassachusettsTravelersconsumer protection violation2011MA-AG$5,000,386
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011NJ-AG$35,000
RBS Financial Products Inc.NatWest Group PLCtoxic securities abuses2011MA-AG$52,000,000
UBS AGUBSprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,800,000
UBS Securities LLC and UBS Financial Services, IncUBSinvestor protection violation2011NJ-AG$3,790,487
United States Life Insurance Company in the City of New YorkAmerican International Groupconsumer protection violation2011MA-AG$760,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.