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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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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Company sort icon . Current ParentPrimary Offense TypeYearAgencyPenalty Amount
Combined Life Insurance Company of New YorkChubb Limitedinsurance violation2017NY-DFS$23,740
Combined Insurance Company of AmericaChubb Limitedwage and hour violation2010private lawsuit-federal$6,000,000
Combined Insurance Company of AmericaChubb Limitedemployment discrimination2005private lawsuit-federal$8,500,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2006FL-OFR$9,750
Combined Insurance Company of AmericaChubb Limitedinsurance violation2004OR-FIN$10,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2006OR-FIN$9,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2005PA-INS$50,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2002VA-INS$27,000
Combined Insurance Company Of AmericaChubb Limitedinsurance violation2014WA-INS$5,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2021WA-INS$10,000
Columbia Management Investment Services Corp.Ameriprise Financialinvestor protection violation2017SEC$250,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialinvestor protection violation2005SEC$140,000,000
Colonial County Mutual Insurance Company and Titan Insurance Services Inc.Nationwideinsurance violation2018TX-INS$50,000
Cole Taylor BankFifth Third Bancorpbanking violation2014FED$3,510,000
Coinbase, Inc.Coinbase Global Inc.consumer protection violation2021FL-OFR$6,500
Coinbase Inc.Coinbase Global Inc.investor protection violation2021CFTC$6,500,000
Coinbase Inc.Coinbase Global Inc.anti-money-laundering deficiencies2023NY-DFS$100,000,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2009AZ-DIFI$38,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2005CA-INS$120,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2009CA-INS$150,000
Coast National InsuranceZurich Insurancewage and hour violation2002private lawsuit-state$18,000,000
CNO Services, LLCCNO Financialwage and hour violation2010WHD$69,610
CNG FINANCIAL CORPORATIONCNG Financiallabor relations violation2001NLRB$6,000
CMFG LIFE INSURANCE COMPANYCUNA Mutualinsurance violation2014VA-INS$21,000
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2019VT-FIN$231,000
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2021VA-INS$7,500
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MD-INS$38,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MN-FIN$15,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MO-INS$81,500
Cleco Power, LLCMacquarieenergy market violation2007FERC$2,000,000
Cleco PowerMacquarieutility administrative violation2004LA-PSC$18,000,000
Cleco CorporationMacquarieenergy market violation2003FERC$2,850,000
Cleco CorporationMacquarieenergy market violation2003FERC$2,850,000
Cleco CorporationMacquariewage and hour violation2017WHD$12,190
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$8,626
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$5,545
Cleco CorpMacquarieworkplace safety or health violation2012MSHA$9,310
Clearstream Banking SADeutsche Borseeconomic sanction violation2014OFAC$152,000,000
Claritas Investments Ltd.Principal Financialinvestor protection violation2013SEC$144,819
City National BankRoyal Bank of Canadabanking violation2010OCC$5,250
City National BankRoyal Bank of Canadabanking violation2005OCC$750,000
City National BankRoyal Bank of Canadadiscriminatory practices (non-employment)2023DOJ_RIGHTS$31,000,000
Citizens Republic Bancorp Inc.Huntington Bancsharesbanking violation2011DOJ_RIGHTS$3,600,000
CITIZENS FINANCIAL GROUP, INC.Citizens Financial Groupworkplace safety or health violation2017OSHA$6,338
Citizens Financial GroupCitizens Financial Groupwage and hour violation2014private lawsuit-federal$11,501,500
CITIZENS BUSINESS BANKCVB Financialbanking violation2009FDIC$16,200
Citizens Bank, National AssociationCitizens Financial Groupbanking violation2015OCC$2,000,000
Citizens Bank, N.A.Citizens Financial Groupconsumer protection violation2015CFPB$18,500,000
Citizens Bank of Rhode IslandCitizens Financial Groupenvironmental violation2007RI-ENV$7,510
Citizens Bank of PennsylvaniaCitizens Financial Groupdiscriminatory practices (non-employment)2016HUD$115,000
Citizens BankCitizens Financial Groupbanking violation2015FDIC$8,800,000
Citizens BankCitizens Financial Groupbanking violation2013FDIC$6,400,000
Citizens BankCitizens Financial Groupwage and hour violation2014private lawsuit-federal$3,000,000
CitiMortgage, Inc.Citigroupconsumer protection violation2006HUD$650,000
CitiMortgage, Inc.Citigroupconsumer protection violation2014AR-SEC$20,000
CitiMortgage, Inc.Citigroupconsumer protection violation2019CA-DFPI$7,800,000
CITIMORTGAGE, INC.Citigroupworkplace safety or health violation2007OSHA$5,097
Citimortgage Inc. and Citibank N.A.Citigrouptoxic securities abuses2013FHFA$395,000,000
Citimortgage Inc.Citigroupmortgage abuses2012USAO$158,300,000
Citigroup, N. A.Citigroupeconomic sanction violation2008OFAC$16,250
Citigroup, Inc.Citigroupinvestor protection violation2005SEC$208,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$101,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$19,000,000
Citigroup, Inc.Citigroupbenefit plan administrator violation2019private lawsuit-federal$6,900,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003NY-MANDA$25,000,000
Citigroup Technology IncCitigroupwage and hour violation2016WHD$1,967,689
Citigroup Private Bank GP, Inc.Citigroupdata submission deficiencies2009CFTC$100,000
CITIGROUP INC.Citigroupbanking violation2015FED$342,000,000
Citigroup Inc.Citigroupbanking violation2012FED$22,000,000
Citigroup Inc.Citigrouptoxic securities abuses2014DOJ$7,000,000,000
Citigroup Inc.Citigroupmortgage abuses2012DOJ$2,202,000,000
Citigroup Inc.Citigrouptoxic securities abuses2010SEC$75,000,000
Citigroup Inc.Citigroupbanking violation2004FED$70,000,000
Citigroup Inc.Citigroupconsumer protection violation2002FTC$215,000,000
Citigroup Inc.Citigroupbenefit plan administrator violation2014private lawsuit-federal$8,500,000
Citigroup Inc.Citigrouptoxic securities abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $291,750,000
Citigroup Inc.Citigroupeconomic sanction violation2014OFAC$217,841
Citigroup Global Markets, Inc. and Citi Smith BarneyCitigroupinvestor protection violation2008MULTI-AG$7,100,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2006SEC$1,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2005SEC$20,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2007SEC$200,000
Citigroup Global Markets, Inc.Citigroupconsumer protection violation2014NY-AG$16,000,000
Citigroup Global Markets, Inc.Citigroupconsumer protection violation2015NY-AG$4,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2017NY-AG$23,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010AK-DBS$150,507
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2015AK-DBS$35,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010IN-SEC$692,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010MO-SEC$277,500
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2014FINRA$15,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2012FINRA$3,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2012FINRA$725,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2011FINRA$500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010FINRA$650,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2008FINRA$300,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2007FINRA$15,200,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2006FINRA$350,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2005FINRA$6,250,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$275,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$250,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$250,000
Citigroup Global Markets, IncCitigroupinvestor protection violation2012FINRA$2,741,489
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.