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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 ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
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
Prospect Mortgage LLCHomebridge Financial Serviceswage and hour violation2010WHD$13,728
CNO Services, LLCCNO Financialwage and hour violation2010WHD$69,610
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$754,148
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$20,122
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$209,170
Bank of America, NABank of Americawage and hour violation2010WHD$5,827
Hewitt Associates LLCAonwage and hour violation2010WHD$48,103
Nationwide InsuranceNationwidewage and hour violation2010WHD$9,109
Bank of America, N.A.Bank of Americawage and hour violation2010WHD$18,654
ING AmericaVoya Financialwage and hour violation2010WHD$21,986
Hartford Fire Insurance CompanyHartford Financial Serviceswage and hour violation2010WHD$25,448
Huntington National BankHuntington Bancshareswage and hour violation2010WHD$10,007
UBS Inc.UBSlabor relations violation2010NLRB$26,351
Metropolitan Life Insurance CompanyMetLifekickbacks and bribery2010USAO$13,500,000
Wachovia Bank N.A.Wells Fargoanti-money-laundering deficiencies2010USAO$50,000,000
JP Morgan Chase Bank, NAJPMorgan Chaseexport control violation2010BIS$19,125
Combined Insurance Company of AmericaChubb Limitedwage and hour violation2010private lawsuit-federal$6,000,000
Wachovia Financial ServicesWells Fargowage and hour violation2010private lawsuit-federal$450,000
Bear StearnsJPMorgan Chasewage and hour violation2010private lawsuit-federal$675,000
Bank of AmericaBank of Americawage and hour violation2010private lawsuit-state$16,650,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2010private lawsuit-federal$8,000,000
Wells FargoWells Fargowage and hour violation2010private lawsuit-federal$20,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2010private lawsuit-federal$2,492,729
H&R BlockH&R Blockwage and hour violation2010private lawsuit-federal$1,400,000
Merrill LynchBank of Americawage and hour violation2010private lawsuit-federal$43,500,000
TD BankToronto-Dominion Bankwage and hour violation2010private lawsuit-federal$375,000
Bank of AmericaBank of Americawage and hour violation2010private lawsuit-federal$661,392
Banc of America Securities LLCBank of Americaprice-fixing or anti-competitive practices2010SEC$36,096,442
World Group Securities, Inc.Aegoninvestor protection violation2010SEC$200,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsinvestor protection violation2010SEC$225,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2010SEC$470,147
J.P. Morgan Chase Retirement PlanJPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$604,957
Washington Mutual Inc.JPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$49,000,000
Washington Mutual Pension PlanJPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$20,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennanbenefit plan administrator violation2010private lawsuit-federal$35,000,000
Fannie MaeFannie Maebenefit plan administrator violation2010private lawsuit-federal$7,250,000
Hartford Life Insurance CompanyHartford Financial Servicesbenefit plan administrator violation2010private lawsuit-federal$13,775,000
State Street Bank And Trust Co.State Street Corp.benefit plan administrator violation2010private lawsuit-federal$89,750,000
UNUM Life Insurance Company of AmericaUnumbenefit plan administrator violation2010private lawsuit-federal$5,000,000
Aon CorporationAonbenefit plan administrator violation2010private lawsuit-federal$1,800,000
National City Corp.PNC Financial Servicesbenefit plan administrator violation2010private lawsuit-federal$43,000,000
ACE American Insurance Company ET AL.Chubb LimitedFalse Claims Act and related2010NY-AG$70,000,000
Affinion Group, Inc.JPMorgan Chaseconsumer protection violation2010NY-AG$8,000,000
American International GroupAmerican International Groupinvestor protection violation2010OH-AG$725,000,000
American International GroupAmerican International Groupprice-fixing or anti-competitive practices2010OH-AG$9,000,000
American International Group Inc.American International Groupinvestor protection violation2010OR-AG$8,000,000
Arch Insurance CompanyArch Capitalconsumer protection violation2010MD-AG$460,000
Banc of America Securities LLCBank of Americainvestor protection violation2010NJ-AG$1,268,393
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $67,000,000
Bank of AmericaBank of Americafraud2010DC-AG$13,502,852
Bank of America Corp.Bank of Americaprivacy violation2010MO-AG$195,000
Bank of New York MellonBank of New York Mellonemployment discrimination2010NJ-AG$188,037
BNY Mellon Shareowner ServicesBank of New York Melloninvestor protection violation2010MA-AG$30,000
Continental American Insurance Co.Aflacconsumer protection violation2010MA-AG$25,000
Countrywide Financial CorporationBank of Americamortgage abuses2010MULTI-AG$3,004,100,000
H&R BlockH&R Blockconsumer protection violation2010NY-AG$12,150,000
Hanover Insurance GroupHanover Insuranceconsumer protection violation2010MA-AG$2,500,000
Home Loan Center, Inc.LendingTreeconsumer protection violation2010AZ-AG$1,150,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2010FL-AG$25,000,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2010NJ-AG$1,149,028
Liberty Mutual Insurance Co.Liberty Mutual Insurancekickbacks and bribery2010CT-AG$2,000,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$20,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$3,100,000
MercerMarsh & McLennanaccounting fraud or deficiencies2010AK-AG$500,000,000
Merrill LynchBank of Americainvestor protection violation2010NJ-AG$4,871,620
Merrill, Lynch, Pierce, Fenner and Smith, Inc.Bank of Americainvestor protection violation2010NJ-AG$728,260
Metropolitan Property & CasualtyZurich Insuranceconsumer protection violation2010MA-AG$20,000
Metropolitan Property & Casualty Insurance Co.Zurich Insuranceconsumer protection violation2010MA-AG$3,500,000
Morgan Stanley & Co.Morgan Stanleytoxic securities abuses2010MA-AG$102,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2010MULTI-AG$31,000,000
OppenheimerFundsInvescoinvestor protection violation2010NM-AG$67,300,000
Peerless Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$20,000
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2010NJ-AG$51,724
Resource Life Insurance Co.Assurantconsumer protection violation2010TX-AG$2,600,000
State Street BankState Street Corp.investor protection violation2010WA-AG$11,700,000
State Street Bank & Trust Co.State Street Corp.investor protection violation2010MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2010KY-AG$3,600,000
UBSUBSinvestor protection violation2010MI-AG$117,000,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$25,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$2,300,000
United States Fidelity and Guaranty Co.TravelersFalse Claims Act and related2010MA-AG$2,925,000
Wells FargoWells Fargoconsumer protection violation2010MULTI-AG$23,700,000
Wells FargoWells Fargomortgage abuses2010CA-AG$33,868,615
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2010MULTI-AG$94,000,000
Zurich American Insurance Company et al.Zurich InsuranceFalse Claims Act and related2010NY-AG$37,500,000
MAINSOURCE BANKFirst Financial Bancorp.banking violation2010FDIC$22,000
BANK OF THE WESTBank of Montrealbanking violation2010FDIC$68,200
S&T BANKS&T Bancorpbanking violation2010FDIC$32,640
BUSEY BANKFirst Busey Corp.banking violation2010FDIC$7,445
Discover Financial ServicesDiscover Financial Serviceseconomic sanction violation2010OFAC$8,720
Wells Fargo Bank, N.AWells Fargoeconomic sanction violation2010OFAC$67,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.