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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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 icon . Primary Offense TypeYearAgencyPenalty Amount
National Casualty CompanyNationwideinsurance violation2022RI-FIN$20,000
Nationwide Mutual Insurance CompanyNationwidewage and hour violation2021WHD$13,808
NATIONWIDE LIFE INSURANCE COMPANYNationwideinsurance violation2022WA-INS$30,000
NATIONWIDE GENERAL INSURANCE COMPANYNationwideinsurance violation2022WA-INS$35,000
RBS PLC and RBS Securities JapanNatWest Group PLCprice-fixing or anti-competitive practices2014DOJ_ANTITRUST$150,000,000
ROYAL BANK OF SCOTLAND PLCNatWest Group PLCbanking violation2015FED$274,000,000
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCbanking violation2013FED$50,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$395,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2013SEC$153,700,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2014FHFA$99,500,000
Royal Bank of Scotland plcNatWest Group PLCtoxic securities abuses2015NCUA$129,600,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2014CFTC$290,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2013CFTC$325,000,000
Coutts & Co LtdNatWest Group PLCtax violations2015DOJ_TAX$78,484,000
Royal Bank of Scotland PLCNatWest Group PLCeconomic sanction violation2013OFAC$33,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2017CFTC$85,000,000
Royal Bank of Scotland PLCNatWest Group PLCtoxic securities abuses2017FHFA$5,500,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2017USAO$44,000,000
Royal Bank of Scotland Group plcNatWest Group PLCinvestor protection violation2014SEC$120,000
Royal Bank of Scotland Group plcNatWest Group PLCtoxic securities abuses2018DOJ_CIVIL$4,900,000,000
NatWest Markets PlcNatWest Group PLCinvestor protection violation2018CFTC$750,000
RBS Financial ProductsNatWest Group PLCtoxic securities abuses2012NV-AG$42,000,000
RBS Financial Products Inc.NatWest Group PLCtoxic securities abuses2011MA-AG$52,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2016VA-AG$10,000,000
RBS Securities, Inc.NatWest Group PLCtoxic securities abuses2016CT-AG$120,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2017CA-AG$125,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018IL-AG$20,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018NY-AG$500,000,000
NatWest Markets PlcNatWest Group PLCinvestor protection violation2019CFTC$850,000
Coutts & Co Ltd.NatWest Group PLCtax violations2019DOJ_TAX$27,900,000
Royal Bank of ScotlandNatWest Group PLCeconomic sanction violation2013NY-DFS$50,000,000
RBS Financial Products, Inc.NatWest Group PLCtoxic securities abuses2020MD-AG$18,000,000
RBS Securities, Inc.NatWest Group PLCinvestor protection violation2016FINRA$2,000,000
NatWest Markets PlcNatWest Group PLCfraud2021DOJ_CRIMINAL$35,000,000
NatWest Markets Securities Inc.NatWest Group PLCtoxic securities abuses2021NM-AG$4,642,857
National Westminster Bank plcNatWest Group PLCprice-fixing or anti-competitive practices2016private lawsuit-federal$3,500,000
Royal Bank of Scotland GroupNatWest Group PLCprice-fixing or anti-competitive practices2020private lawsuit-federal$13,000,000
Royal Bank of Scotland GroupNatWest Group PLCprice-fixing or anti-competitive practices2018private lawsuit-federal$255,000,000
Royal Bank of Scotland GroupPLCNatWest Group PLCprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Royal Bank of Scotland PLCNatWest Group PLCprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Royal Bank of Scotland PLCNatWest Group PLCprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
Navient Solutions, Inc.Navientbanking violation2014FDIC$33,300,000
Pioneer Credit Recovery, Inc.Navienttax violations2013CT-AG$12,255
Navient Solutions, LLCNavientconsumer protection violation2021CT-BKG$25,400
NavientNavientconsumer protection violation2022MULTI-AG$1,850,000,000
NavientNavientconsumer protection violation2022ID-AG$3,972,316
Navient Corp. and Navient Solutions, LLCNavientconsumer protection violation2022NH-AG$3,590,988
Navy Federal Credit UnionNavy Federal Credit Unionconsumer protection violation2016CFPB$28,500,000
Navy Federal Credit UnionNavy Federal Credit Unionenvironmental violation2017VA-ENV$7,426
Nelnet Inc.NelnetFalse Claims Act and related2010DOJ_CIVIL$47,000,000
Nelnet Inc.Nelnetconsumer protection violation2007NY-AG$2,000,000
Nelnet, Inc.Nelnetconsumer protection violation2008NY-AG$200,000
New Day Financial LLC dba New Day USANew Day Financial LLCconsumer protection violation2015NY-DFS$1,000,000
New Day Financial LLCNew Day Financial LLCconsumer protection violation2011PA-BKG$57,500
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCconsumer protection violation2015WA-FIN$120,000
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCinvestor protection violation2015MULTI-FIN$5,160,000
Flagstar BankNew York Community Bancorpconsumer protection violation2014CFPB$37,500,000
Flagstar BankNew York Community Bancorpmortgage abuses2012USAO$132,800,000
NEW YORK COMMUNITY BANKNew York Community Bancorpbanking violation2004FDIC$8,000
Flagstar Bank, FSBNew York Community Bancorpbanking violation2016OCC$500,000
Flagstar BankNew York Community Bancorpwage and hour violation2015private lawsuit-federal$895,000
Flagstar Bancorp, Inc.New York Community Bancorpbenefit plan administrator violation2013private lawsuit-federal$3,000,000
Flagstar BankNew York Community Bancorpdiscriminatory practices (non-employment)2004private lawsuit-federal$1,100,000
Flagstar Bank, FSBNew York Community Bancorpbanking violation2021OCC$3,620,000
Flagstar Bancorp, Inc. a Michigan CorporationNew York Community Bancorpwage and hour violation2021CA-LCO$30,677
Flagstar Bank, FSB,New York Community Bancorpwage and hour violation2021CA-LCO$30,677
New York LifeNew York Life Insurancewage and hour violation2016private lawsuit-federal$94,818
New York Life Investment Management LLCNew York Life Insuranceinvestor protection violation2009SEC$6,100,784
New York Life InsuranceNew York Life Insurancebenefit plan administrator violation2008private lawsuit-federal$14,000,000
New York Life Insurance CompanyNew York Life Insurancebenefit plan administrator violation2017private lawsuit-federal$3,000,000
New York Life Insurance CompanyNew York Life Insuranceinsurance violation2013MULTI-AG$15,000,000
New York Life Insurance Co.New York Life Insuranceinsurance violation2009CA-INS$175,000
New York Life Insurance and Annuity Corp.New York Life Insuranceinsurance violation2018DE-INS$5,000
New York Life Insurance Co.New York Life Insuranceinsurance violation2011FL-OFR$18,000
NYLIFE Securities, LLCNew York Life Insuranceinvestor protection violation2017IN-SEC$275,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2019ME-SEC$50,000
New York Life Insurance Co. et al.New York Life Insuranceinsurance violation2016MN-FIN$800,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2017NH-BSR$7,500
NEW YORK LIFE INSURANCE CONew York Life Insuranceinsurance violation2002VA-INS$13,500
New York Life Insurance & Annuity CorporationNew York Life Insuranceconsumer protection violation2021NY-DFS$10,929,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2007FINRA$354,000
NYLife Securities, Inc.New York Life Insuranceinvestor protection violation2004FINRA$350,000
New York Life Insurance Company and New York Life Insurance and Annuity CorporationNew York Life Insuranceinsurance violation2021MT-INS$10,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.Nomuratoxic securities abuses2016NCUA$3,000,000
Nomura Securities International Inc.Nomurainvestor protection violation2019SEC$26,400,000
Nomura SecuritiesNomurainvestor protection violation2022CFTC$50,000,000
Nomura Securities International, Inc.Nomurainvestor protection violation2022SEC$50,000,000
Nomura Securities International Inc.Nomuraprice-fixing or anti-competitive practices2018private lawsuit-federal$8,750,000
Nomura Securities International Inc.Nomuraprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Norddeutsche Landesbank GirozentraleNorddeutsche Landesbankemployment discrimination2008private lawsuit-federal$2,618,600
Norinchukin BankNorinchukin Bankprice-fixing or anti-competitive practices2019private lawsuit-federal$13,083,333
The Northern Trust CompanyNorthern Trustinvestor protection violation2015SEC$60,000
Northern Trust, IBCNorthern Trusteconomic sanction violation2003OFAC$18,027
Northern Trust, National AssociationNorthern Trustbanking violation2008OCC$125,000
Northern Trust Investments, N.A.Northern Trustbenefit plan administrator violation2015private lawsuit-federal$36,000,000
Northern TrustNorthern Trustbenefit plan administrator violation2006private lawsuit-federal$37,500,000
Northern Trust CompanyNorthern Trustinvestor protection violation2019CFTC$1,000,000
Northern Trust Hedge Fund Services LLCNorthern Trustinvestor protection violation2020SEC$167,629
Northern Trust SecuritiesNorthern Trustinvestor protection violation2011FINRA$600,000
The Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2013MN-FIN$150,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.