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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$5,000,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$5,290,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Deutsche BankDeutsche Bankinvestor protection violation2022CFTC$75,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2022SEC$125,000,000
Deutsche Bank Trust Company AmericasDeutsche Bankbanking violation2022FED$105,500
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2020private lawsuit-federal$80,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2018private lawsuit-federal$240,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2022private lawsuit-federal$60,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2020private lawsuit-federal$15,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2017private lawsuit-federal$77,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018private lawsuit-federal$170,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018private lawsuit-federal$190,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2021private lawsuit-federal$38,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2022private lawsuit-federal$11,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
Deutsche Bank Securities Inc.Deutsche Bankprice-fixing or anti-competitive practices2021private lawsuit-federal$48,500,000
Deutsche BankAGDeutsche Bankprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Deutsche BankDeutsche Bankinvestor protection violation2012private lawsuit-federal$32,500,000
Deutsche Bank AGDeutsche Bankconsumer protection violation2019private lawsuit-federal$55,000,000
Deutsche Bank Securities Inc.Deutsche Bankconsumer protection violation2015private lawsuit-federal$10,571,428
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2023FED$186,000,000
DWS Investment Management Americas Inc.Deutsche Bankinvestor protection violation2023SEC$25,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$13,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$5,000,000
DEUTSCHE BANK USADeutsche Bankworkplace safety or health violation2013OSHA$5,250
DEPOSITORY TRUST & CLEARING CORP.Depository Trustworkplace safety or health violation2000OSHA$13,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022DOJ_CRIMINAL$2,000,000,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2019SEC$1,852,383
MONY Life Insurance Co.Dai-ichi Lifeconsumer protection violation2000CT-AG$250,000
Protective Life Insurance Co.Dai-ichi Lifeconsumer protection violation2007TX-AG$1,570,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2018CT-SEC$7,590
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2000FL-OFR$8,750
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2004FL-OFR$5,000
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2004FL-OFR$5,950
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2010IN-SEC$9,000
Protective Life Insurance CompanyDai-ichi Lifeinsurance violation2003MA-INS$30,000
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2014MN-FIN$25,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2015MO-SEC$128,528
Protective Life Insurance CompanyDai-ichi Lifeinsurance violation2014SD-INS$5,000
PROTECTIVE LIFE INSURANCE CO.Dai-ichi Lifeinsurance violation2004VA-INS$10,000
ProEquities, IncDai-ichi Lifeinvestor protection violation2012MULTI-FIN$435,000
Protective Life Insurance Company et al.Dai-ichi Lifeinsurance violation2019MULTI-FIN$350,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2009FINRA$25,000
CITIZENS BUSINESS BANKCVB Financialbanking violation2009FDIC$16,200
Customers BankCustomers Bancorpbanking violation2016FED$960,000
CUNA Mutual Life Insurance Co.CUNA Mutualinsurance violation2007FL-OFR$7,500
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MD-INS$38,000
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2011ME-INS$100,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MN-FIN$15,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MO-INS$81,500
CUNA Brokerage Services Inc.CUNA Mutualinvestor protection violation2014OK-SEC$15,000
CUNA MUTUAL INSURANCE SOCIETYCUNA Mutualinsurance violation2005VA-INS$40,000
CUNA MUTUAL INSURANCE SOCIETYCUNA Mutualinsurance violation2007VA-INS$30,000
CMFG LIFE INSURANCE COMPANYCUNA Mutualinsurance violation2014VA-INS$21,000
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2019VT-FIN$231,000
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2007MULTI-FIN$584,622
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2021VA-INS$7,500
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2001FINRA$100,000
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2021AR-SEC$50,000
Peter Cremer CompanyCremerrailroad safety violation2011FRA$5,000
Peter Cremer CompanyCremerrailroad safety violation2013FRA$8,000
Peter Cremer North AmericaCremerenvironmental violation2013EPA$98,000
Credit Agricole S.A.Credit Agricoleeconomic sanction violation2015FED$90,300,000
Credit Agricole (Suisse) SACredit Agricoletax violations2015DOJ_TAX$99,211,000
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015OFAC$329,593,585
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2005CFTC$85,000
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2004CFTC$25,000
Credit Agricole S.A.Credit Agricolebanking violation2004FED$8,000,000
Credit Lyonnais, NYCredit Agricoleeconomic sanction violation2003OFAC$5,500
Credit Agricole Corporate and Investment Bank (CACIB)Credit Agricoleeconomic sanction violation2015USAO$156,000,000
Credit LyonnaisCredit Agricolefraud2003USAO$100,000,000
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015NY-MANDA$156,000,000
Credit AgricoleCredit Agricolebanking violation2004NY-DFS$5,000,000
Credit AgricoleCredit Agricoleeconomic sanction violation2015NY-DFS$385,000,000
Credit Agricole Corporate and Investment BankCredit Agricoleprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Credit Agricole S.A.Credit Agricoleprice-fixing or anti-competitive practices2022private lawsuit-federal$55,000,000
Credit Acceptance Corp.Credit Acceptance Corp.consumer protection violation2012MO-AG$125,000
Credit Acceptance CorporationCredit Acceptance Corp.insurance violation2018WA-INS$30,000
Credit Acceptance CorporationCredit Acceptance Corp.consumer protection violation2021MA-AG$27,200,000
Crawford and CompanyCrawford & Co.False Claims Act and related2006DOJ_CIVIL$1,363,204
Crawford Healthcare Management of Norfolk & BaltimoreCrawford & Co.fraud2003DOJ_CRIMINAL$8,000,000
Broadspire Services, Inc.Crawford & Co.workplace safety or health violation2011MO-AG$28,500
Broadspire Services Inc.Crawford & Co.insurance violation2016TN-INS$10,000
Broadspire Services, Inc.Crawford & Co.insurance violation2017TX-INS$40,000
COMMERZBANK AGCommerzbankbanking violation2015FED$200,000,000
Commerzbank AGCommerzbankeconomic sanction violation2015DOJ_CRIMINAL$642,000,000
Commerzbank AGCommerzbankeconomic sanction violation2014OFAC$258,660,796
Commerzbank AGCommerzbankeconomic sanction violation2004OFAC$5,500
Commerzbank AGCommerzbankinvestor protection violation2018CFTC$12,000,000
Commerzbank AGCommerzbankeconomic sanction violation2011OFAC$175,500
Commerzbank AGCommerzbankeconomic sanction violation2015NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $171,000,000
CommerzbankCommerzbankeconomic sanction violation2015NY-DFS$610,000,000
Commerzbank AGCommerzbankprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
CommerceWest BankCommerceWest Bankfraud2015DOJ_CRIMINAL$4,900,000
Commerce Bank NACommerce Bancsharesconsumer protection violation2013private lawsuit-federal$18,300,000
Comerica Securities, Inc.Comericainvestor protection violation2015SEC$60,000
Comerica IncorporatedComericabenefit plan administrator violation2013private lawsuit-federal$11,000,000
Comerica IncorporatedComericabenefit plan administrator violation2007private lawsuit-federal$2,020,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.