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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
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2011FINRA$1,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011FINRA$2,115,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2011FINRA$500,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2011FINRA$5,000,000
Northern Trust SecuritiesNorthern Trustinvestor protection violation2011FINRA$600,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011FINRA$4,500,000
Merrill LynchBank of Americainvestor protection violation2011FINRA$3,000,000
Nuveen Investments, LLCTIAAinvestor protection violation2011FINRA$3,000,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2011FINRA$1,000,000
Santander Securities of Puerto RicoBanco Santanderinvestor protection violation2011FINRA$2,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2011FINRA$10,750,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$650,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$500,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2011FINRA$600,000
Charles Schwab & Company, Inc.Charles Schwab Corp.investor protection violation2011FINRA$18,000,000
Bank of America Corp.Bank of Americaworkplace whistleblower retaliation2011OSHA$930,000
Mercury Air CentersMacquarieenvironmental violation2011CA-SCAQMD$5,500
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$18,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$18,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$27,000
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2011private lawsuit-federal$6,500,000
Allianz Life Insurance Company of North AmericaAllianzconsumer protection violation2011private lawsuit-federal$68,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2011private lawsuit-federal$410,000,000
Bank of America, N.A.Bank of Americaconsumer protection violation2011private lawsuit-federal$9,950,000
Countrywide Financial CorporationBank of Americaconsumer protection violation2011private lawsuit-federal$34,000,000
Charles Schwab Corp.Charles Schwab Corp.consumer protection violation2011private lawsuit-federal$235,000,000
Conseco Insurance CompanyCNO Financialconsumer protection violation2011private lawsuit-federal$3,000,000
Fifth Third BankFifth Third Bancorpconsumer protection violation2011private lawsuit-federal$9,500,000
Chase Bank USA, N.A.JPMorgan Chaseconsumer protection violation2011private lawsuit-federal$7,800,000
Chase Bank USA, N.A.JPMorgan Chaseconsumer protection violation2011private lawsuit-federal$4,900,000
Washington MutualJPMorgan Chaseconsumer protection violation2011private lawsuit-federal$8,736,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2011private lawsuit-federal$125,000,000
Farmers Insurance CompanyZurich Insuranceconsumer protection violation2011private lawsuit-federal$10,975,000
Bank Of AmericaBank of Americawage and hour violation2011MI-LEO$5,000
Huntington National BankHuntington Bancshareswage and hour violation2011MI-LEO$11,434
Jackson National Life Distributors IncJackson Financialwage and hour violation2011MI-LEO$10,716
Citizens BankCitizens Financial Groupwage and hour violation2011MI-LEO$8,169
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2011OSHA$18,300
FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS, INCFidelity Investmentsworkplace safety or health violation2011OSHA$7,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.Louis Dreyfusworkplace safety or health violation2011OSHA$13,600
BANK OF AMERICABank of Americaworkplace safety or health violation2011OSHA$6,600
THE HARTFORD FINANCIAL SERVICES GROUP, INC.Hartford Financial Servicesworkplace safety or health violation2011OSHA$5,600
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2011OSHA$5,950
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2011OSHA$6,400
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2011OSHA$12,435
WHEELABRATOR ENERGY COMPANY, INCORPORATEDMacquarieworkplace safety or health violation2011OSHA$15,000
IFCO SYSTEMS NORTH AMERICA INC.Triton Investments Advisersworkplace safety or health violation2011OSHA$73,950
IFCO SYSTEMS NORTH AMERICA INCTriton Investments Advisersworkplace safety or health violation2011OSHA$8,000
IAC SPARTANBURGInvescoworkplace safety or health violation2011OSHA$7,277
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2011OSHA$5,000
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLCInvescoworkplace safety or health violation2011OSHA$5,850
RR DONNELLEY RENO OFFSETChatham Asset Managementworkplace safety or health violation2011OSHA$5,024
COMMUNICORP INC.Aflacworkplace safety or health violation2011OSHA$9,900
UNUM GROUP CORPORATIONUnumworkplace safety or health violation2011OSHA$5,400
IAC HURON, LLCInvescoworkplace safety or health violation2011OSHA$20,940
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2011MSHA$12,790
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$13,268
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$12,248
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$13,510
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$5,080
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$5,016
Imperial Sugar CompanyLouis Dreyfusworkplace safety or health violation2010OSHA$6,050,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2010PHMSA$402,500
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2010PHMSA$100,000
East Penn Railroad3i Infrastructure PLCrailroad safety violation2010FRA$6,200
Nyrstar Clarksville, Inc.Trafigurarailroad safety violation2010FRA$5,000
Buckeye Pipe Line Co.IFM Investorsenvironmental violation2010EPA$78,780
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010DOJ_ANTITRUST$137,300,000
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LPBank of Americaconsumer protection violation2010FTC$108,000,000
1st Financial Bank USA1st Financial Bank USAbanking violation2010FDIC$10,140,000
Woodforest National BankWoodforest National Bankbanking violation2010OCC$33,000,000
City National BankRoyal Bank of Canadabanking violation2010OCC$5,250
Wachovia Bank N.A.Wells Fargobanking violation2010OCC$50,000,000
Wachovia BankWells Fargoanti-money-laundering deficiencies2010FINCEN$110,000,000
Barclays Bank PLCBarclayseconomic sanction violation2010DOJ_CRIMINAL$298,000,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V.ABN AMROeconomic sanction violation2010DOJ_CRIMINAL$500,000,000
Citigroup Inc.Citigrouptoxic securities abuses2010SEC$75,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2010SEC$550,000,000
Bank of AmericaBank of Americainvestor protection violation2010SEC$150,000,000
Morgan Stanley Capital GroupMorgan Stanleydata submission deficiencies2010CFTC$14,000,000
UBS SecuritiesUBSdata submission deficiencies2010CFTC$200,000
PrimeLendingHilltop Holdingsmortgage abuses2010DOJ_RIGHTS$2,000,000
Deutsche Bank AGDeutsche Banktax violations2010USAO$553,633,153
Balli Aviation Ltd. and Balli Group PLCBalli Groupexport control violation2010BIS$15,000,000
Nelnet Inc.NelnetFalse Claims Act and related2010DOJ_CIVIL$47,000,000
Regions BankRegions Financialinvestor protection violation2010SEC$1,000,001
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.investor protection violation2010SEC$112,600,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2010SEC$313,300,000
Assurant Inc.Assurantaccounting fraud or deficiencies2010SEC$3,500,000
Vitol Inc. and Vitol Capital Management Ltd.Vitolinvestor protection violation2010CFTC$6,000,000
Noble Americas Corp.Vitolinvestor protection violation2010CFTC$130,000
UBS AGUBSinvestor protection violation2010CFTC$130,000
Scotia Capital Inc.Scotiabankinvestor protection violation2010CFTC$250,000
AIG Federal Savings Bank and Wilmington Finance Inc.American International Groupdiscriminatory practices (non-employment)2010DOJ_RIGHTS$6,100,000
Balli Aviation Ltd.Balli Groupexport control violation2010DOJ_NATSEC$2,000,000
Vanguard GroupVanguard Groupemployment discrimination2010EEOC$300,000
Branch Banking and Trust (BB&T)Truist Financialemployment discrimination2010EEOC$24,000
Mercury Air Centers Inc.Macquarieemployment discrimination2010EEOC$600,000
Simmons First National BankSimmons First National Corp.employment discrimination2010OFCCP$360,187
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$565,065
State Farm Mutual Automobile Insurance CompanState Farm InsuranceFamily and Medical Leave Act2010WHD$27,787
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.