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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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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon .
American Modern Home Insurance CompanyMunich Reinsurance violation2012NC-INS$1,860,000
First Tennessee BankFirst Horizon Nationaldiscriminatory practices (non-employment)2016HUD$1,900,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$1,900,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2018SEC$1,900,000
Genworth Life Insurance Co.Genworth Financialinsurance violation2014MULTI-AG$1,900,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2010NY-DFS$1,900,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009MULTI-FIN$1,900,000
Cincinnati Life Insurance CompanyCincinnati Financialdiscriminatory practices (non-employment)2004private lawsuit-state$1,900,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017MULTI-FIN$1,914,370
Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$1,921,784
The Bank of New York Mellon CorporationBank of New York Mellonemployment discrimination2022OFCCP$1,925,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2012FINRA$1,931,488
Hartford Financial Services Group Inc.Hartford Financial Servicesbenefit plan administrator violation2012private lawsuit-federal$1,935,000
Bank of America, N.A.Bank of Americaconsumer protection violation2017CA-MULTI$1,940,000
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$1,940,000
Bank of America Corp.Bank of Americaconsumer protection violation2013WV-AG$1,950,000
Citibank/Citigroup Inc.Citigroupconsumer protection violation2013WV-AG$1,950,000
Discover Financial ServicesDiscover Financial Servicesconsumer protection violation2013WV-AG$1,950,000
HSBC Finance CorporationHSBCconsumer protection violation2013WV-AG$1,950,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2013WV-AG$1,950,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2019SEC$1,950,000
J.P. Morgan ChaseJPMorgan Chasediscriminatory practices (non-employment)2010private lawsuit-federal$1,950,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2022MULTI-FIN$1,950,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015MULTI-FIN$1,965,000
Citigroup Technology IncCitigroupwage and hour violation2016WHD$1,967,689
MetLifeMetLifewage and hour violation2015private lawsuit-federal$1,970,000
Encompass Insurance Company of MassachusettsAllstateconsumer protection violation2012MA-AG$1,972,635
Principal Life Insurance CompanyPrincipal Financialinsurance violation2021NY-DFS$1,997,866
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2008SEC$1,998,143
Citizens Bank, National AssociationCitizens Financial Groupbanking violation2015OCC$2,000,000
PNC Bank, National AssociationPNC Financial Servicesbanking violation2014OCC$2,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2011OCC$2,000,000
PrimeLendingHilltop Holdingsmortgage abuses2010DOJ_RIGHTS$2,000,000
Ocwen Financial Corp.Ocwen Financialaccounting fraud or deficiencies2016SEC$2,000,000
Cleco Power, LLCMacquarieenergy market violation2007FERC$2,000,000
Goldman Sachs Execution and Clearing L.P.Goldman Sachsinvestor protection violation2007SEC$2,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004SEC$2,000,000
Balli Aviation Ltd.Balli Groupexport control violation2010DOJ_NATSEC$2,000,000
Progressive Casualty Insurance Co. and Progressive Garden State Insurance Co.ProgressiveFalse Claims Act and related2017USAO$2,000,000
First Niagara Bank, National AssociationKeyCorpbanking violation2016OCC$2,000,000
Allstate InsuranceAllstatewage and hour violation2017private lawsuit-state$2,000,000
Wells Fargo Insurance ServicesWells Fargowage and hour violation2015private lawsuit-federal$2,000,000
GMAC MortgageAlly Financialwage and hour violation2014private lawsuit-federal$2,000,000
MetLifeMetLifewage and hour violation2011private lawsuit-federal$2,000,000
LendingClub CorporationLendingClub Corp.banking violation2018USAO$2,000,000
Ocwen FinancialOcwen Financialemployment discrimination2005private lawsuit-state$2,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2004SEC$2,000,000
Banca IMI Securities Corp.Intesa Sanpaoloprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$2,000,000
CitibankCitigroupconsumer protection violation2007NY-AG$2,000,000
Discover BankDiscover Financial Servicesconsumer protection violation2011MN-AG$2,000,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000NY-AG$2,000,000
Guardian LifeGuardian Life Insuranceinsurance violation2015MULTI-AG$2,000,000
Liberty Mutual Insurance Co.Liberty Mutual Insurancekickbacks and bribery2010CT-AG$2,000,000
LPL Financial LLCLPL Financialconsumer protection violation2015MULTI-AG$2,000,000
Nelnet Inc.Nelnetconsumer protection violation2007NY-AG$2,000,000
Ocwen Loan Servicing LLCOcwen Financialmortgage abuses2019MA-AG$2,000,000
Sallie MaeSLM Corp.consumer protection violation2007NY-AG$2,000,000
US BankU.S. Bancorpprivacy violation2000MULTI-AG$2,000,000
Western Union Financial Services, Inc.Western Unionconsumer protection violation2008AZ-DIFI$2,000,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2007CA-INS$2,000,000
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$2,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2012MA-SEC$2,000,000
Freedom Mortgage Corp.Freedom Mortgagemortgage abuses2016MA-BKG$2,000,000
LendingClub Corp. and Springstone Financial, LLCLendingClub Corp.consumer protection violation2018MA-BKG$2,000,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2005MN-FIN$2,000,000
Citicorp Insurance Agency, Inc., Citicorp Investment Services, and SBHU Life Agency, Inc.Citigroupinsurance violation2010NY-DFS$2,000,000
Cash Call Inc. and Western Sky Financial LLCCashCall Inc.consumer protection violation2015WA-FIN$2,000,000
UBS Financial Services Inc.UBSinvestor protection violation2019FINRA$2,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019FINRA$2,000,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2017FINRA$2,000,000
RBS Securities, Inc.NatWest Group PLCinvestor protection violation2016FINRA$2,000,000
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2015FINRA$2,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2015FINRA$2,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2013FINRA$2,000,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2011FINRA$2,000,000
Santander Securities of Puerto RicoBanco Santanderinvestor protection violation2011FINRA$2,000,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$2,000,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007FINRA$2,000,000
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$2,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003FINRA$2,000,000
Progressive Direct Insurance CompanyProgressiveinsurance violation2022NY-DFS$2,000,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.: ILouis Dreyfusworkplace safety or health violation2008OSHA$2,000,000
Comerica IncorporatedComericabenefit plan administrator violation2007private lawsuit-federal$2,020,000
Knight Financial Products, LLCVirtu Financialinvestor protection violation2009SEC$2,040,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2011FINRA$2,050,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2020FINRA$2,075,000
Hartford Fire and Casualty GroupHartford Financial Servicesinsurance violation2016MULTI-AG$2,100,000
Assurant HealthAssurantinsurance violation2008CT-INS$2,100,000
Nationwide Life Insurance CompanyNationwideinsurance violation2010MULTI-FIN$2,100,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2005FINRA$2,108,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021SEC$2,109,458
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011FINRA$2,115,000
HSBC Bank USA N.A.HSBCFalse Claims Act and related2017USAO$2,118,861
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013MO-SEC$2,121,579
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2012FINRA$2,146,431
Heartland Payment Systems, LLCGlobal Payments Inc.investor protection violation2018SEC$2,160,000
Bank of America CorpBank of Americaemployment discrimination2013OFCCP$2,181,593
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2006SEC$2,185,927
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2006EEOC$2,200,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2009private lawsuit-federal$2,200,000
Western Sky Financial, LLC and CashCall, Inc.CashCall Inc.consumer protection violation2015MI-FIN$2,200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.