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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $394,326,371,910
Number of Records: 7,908
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$87,299,969,499332
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,616,269,231266
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,907,502,443205
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
Citibank N.A.Citigroupinvestor protection violation2017CFTC$550,000
Merrill LynchBank of Americainvestor protection violation2017CFTC$2,500,000
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer ServicesWells Fargoconsumer protection violation2017DOJ_RIGHTS$5,400,000
CitiFinancial Credit CompanyCitigroupconsumer protection violation2017DOJ_RIGHTS$907,000
HSBC HoldingsHSBCbanking violation2017FED$175,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$183,920
American ExpressAmerican Expresseconomic sanction violation2017OFAC$204,277
State Street CorporationState Street Corp.employment discrimination2017OFCCP$4,492,174
SunTrust BanksTruist Financialinvestor protection violation2017SEC$1,100,000
BlackRock Inc.BlackRockinvestor protection violation2017SEC$340,000
Progressive Casualty Insurance Co. and Progressive Garden State Insurance Co.ProgressiveFalse Claims Act and related2017USAO$2,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2017USAO$44,000,000
ZB N.A. (fka Zions First National Bank)Zions Bancorporationconsumer protection violation2017USAO$3,600,000
Bank of AmericaBank of Americainvestor protection violation2017USAO$2,500,000
Allied Home MortgageAmericus Mortgagefraud2017USAO$296,298,325
Prospect Mortgage Company LLCHomebridge Financial Servicesmortgage abuses2017USAO$4,157,000
HSBC Bank USA N.A.HSBCFalse Claims Act and related2017USAO$2,118,861
Societe Generale S.A.Societe Generaletoxic securities abuses2017USAO$50,000,000
Deutsche BankDeutsche Banktax violations2017USAO$95,000,000
Citibank N.A.Citigroupconsumer protection violation2017CFPB$6,000,000
IBERIABANKFirst Horizon NationalFalse Claims Act and related2017DOJ_CIVIL$11,692,149
Citibank N.A.Citigroupbanking violation2017OCC$452,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaanti-money-laundering deficiencies2017SEC$13,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2017SEC$8,750,000
Wells Fargo Advisors, LLCWells Fargoanti-money-laundering deficiencies2017SEC$3,500,000
UBS Financial Services, Inc.UBSinvestor protection violation2017SEC$3,500,000
Barclays Capital Inc.Barclaysinvestor protection violation2017SEC$12,710,040
Blackrock Fund AdvisorsBlackRockinvestor protection violation2017SEC$1,500,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2017SEC$5,754,714
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2017SEC$300,000
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2017SEC$3,095,953
Columbia Management Investment Services Corp.Ameriprise Financialinvestor protection violation2017SEC$250,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2017FRA$8,250
Buckeye PartnersIFM Investorsrailroad safety violation2017FRA$10,000
Bank of AmericaBank of Americaexport control violation2017BIS$44,625
Ameritas Life Insurance CorpAmeritas Mutual Holding Companywage and hour violation2017WHD$9,019
Bank of AmericaBank of AmericaFamily and Medical Leave Act2017WHD$14,528
Wells FargoWells Fargowage and hour violation2017private lawsuit-state$13,000,000
ProgressiveProgressivewage and hour violation2017private lawsuit-federal$46,000
Prudential FinancialPrudential Financialwage and hour violation2017private lawsuit-federal$12,500,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$6,000,000
Wells Fargo AdvisorsWells Fargowage and hour violation2017private lawsuit-federal$3,500,000
U.S. BancorpU.S. Bancorpwage and hour violation2017private lawsuit-federal$7,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2017private lawsuit-federal$16,666,667
Ditech Financial LLCDitech Holding Corporationwage and hour violation2017private lawsuit-federal$1,383,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2017private lawsuit-federal$775,000
CitigroupCitigroupwage and hour violation2017private lawsuit-federal$1,080,000
Regions FinancialRegions Financialwage and hour violation2017private lawsuit-federal$620,634
Fifth Third BankFifth Third Bancorpwage and hour violation2017private lawsuit-federal$1,111,388
Wells FargoWells Fargowage and hour violation2017private lawsuit-federal$685,000
PNC BankPNC Financial Serviceswage and hour violation2017private lawsuit-federal$16,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2017private lawsuit-federal$5,707,279
U.S. BancorpU.S. Bancorpwage and hour violation2017private lawsuit-federal$1,150,000
Allstate InsuranceAllstatewage and hour violation2017private lawsuit-state$2,000,000
Wells FargoWells Fargowage and hour violation2017private lawsuit-federal$3,900,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$7,000,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$1,900,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2017private lawsuit-federal$4,900,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$6,600,000
CitigroupCitigroupwage and hour violation2017private lawsuit-federal$325,000
Synagro NortheastGoldman Sachsenvironmental violation2017EPA$104,000
MetLife SecuritiesMetLifeemployment discrimination2017private lawsuit-federal$32,500,000
Wells Fargo AdvisorsWells Fargoemployment discrimination2017private lawsuit-federal$35,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americabenefit plan administrator violation2017private lawsuit-federal$25,000,000
New York Life Insurance CompanyNew York Life Insurancebenefit plan administrator violation2017private lawsuit-federal$3,000,000
Teachers Insurance and Annuity Insurance Association of AmericaTIAAbenefit plan administrator violation2017private lawsuit-federal$5,000,000
The Gas Company LlcMacquariemotor vehicle safety violation2017FMCSA$12,650
East Penn Railroad LLC3i Infrastructure PLCrailroad safety violation2017FRA$5,000
Noble Americas CorporationVitolrailroad safety violation2017FRA$6,500
MAPFRE Life Insurance Company of Puerto RicoMapfre SAprivacy violation2017HHSOCR$2,200,000
Aflac Inc.Aflacinsurance violation2017MULTI-AG$350,000
American Security Insurance Co.Assurantconsumer protection violation2017MA-AG$6,300,000
Ameriprise GroupAmeriprise Financialinsurance violation2017MULTI-AG$1,500,000
CashCall Inc., WS FundingCashCall Inc.consumer protection violation2017DC-AG$2,962,573
CashCall, Inc.CashCall Inc.consumer protection violation2017VA-AG$15,335,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2017NY-AG$23,500,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2017MULTI-AG$220,000,000
Deutsche BankDeutsche Banktoxic securities abuses2017MD-AG$95,000,000
GreenSky Servicing LLCGoldman Sachsconsumer protection violation2017NJ-AG$160,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesprivacy violation2017NJ-AG$1,100,000
LPL Financial, LLCLPL Financialinvestor protection violation2017NJ-AG$975,000
Nationwide Mutual Insurance CompanyNationwideprivacy violation2017MULTI-AG$5,500,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2017CA-AG$125,000,000
Santander Consumer USA Holdings Inc.Banco Santanderconsumer protection violation2017MA-AG$22,000,000
Santander Consumer USA Holdings, Inc.Banco Santanderconsumer protection violation2017DE-AG$3,875,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2017MULTI-AG$250,000
Western Sky Financial, LLC, CashCall, Inc.CashCall Inc.consumer protection violation2017GA-AG$42,000,000
Western Union Co.Western Unionconsumer protection violation2017MULTI-AG$5,000,000
Wilmington Trust N.A.M&T Bankbenefit plan administrator violation2017private lawsuit-federal$29,773,250
Bank of America, N.A.Bank of Americaconsumer protection violation2017CA-MULTI$1,940,000
AON SERVICE CORPORATIONAonwage and hour violation2017WHD$7,406
Cleco CorporationMacquariewage and hour violation2017WHD$12,190
Ally Financial IncAlly Financialwage and hour violation2017WHD$34,169
Ally Financial, LLCAlly Financialwage and hour violation2017WHD$164,143
Buckeye Partners, LPIFM Investorswage and hour violation2017WHD$284,265
Teachers Insurance & Annuity Assoc of AmericaTIAAwage and hour violation2017WHD$9,678
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2017AK-DBS$6,500
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2017AL-SEC$20,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2017AR-INS$50,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2017AR-SEC$13,000
CashCall, Inc.CashCall Inc.payday lending violation2017AZ-DIFI$250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.