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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Chase Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2011FINRA$3,600,000
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2006FINRA$500,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$250,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$32,500
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2005FINRA$60,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2004FINRA$250,000
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$290,262
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$2,000,000
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2013CFPB$329,000,000
Chase Bank USA, N.A.JPMorgan Chaseconsumer protection violation2009NY-AG$4,400,000
Chase Bank USA N.A.JPMorgan Chaseconsumer protection violation2015MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $106,000,000
Chase BankJPMorgan Chaseconsumer protection violation2006MULTI-AG$3,850,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011SEC$118,000,000
Charles Schwab BankCharles Schwab Corp.discriminatory practices (non-employment)2011HUD$30,000
Charles Schwab & Company, Inc.Charles Schwab Corp.investor protection violation2011FINRA$18,000,000
Charles Schwab & CompanyCharles Schwab Corp.investor protection violation2013FINRA$500,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2011IL-SEC$8,567,364
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2022SEC$187,000,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2004SEC$350,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2018SEC$2,800,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011CT-SEC$2,800,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2014FINRA$500,000
Charles Schwab & Co. Inc.Charles Schwab Corp.investor protection violation2016TX-SEC$125,000
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2014SEC$61,800
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2015FINRA$2,000,000
Charles Schwab & Co, Inc.Charles Schwab Corp.investor protection violation2004FINRA$60,869
Charles SchwabCharles Schwab Corp.wage and hour violation2014private lawsuit-federal$3,800,000
Champion Mortgage and KeyBankKeyCorpwage and hour violation2009private lawsuit-federal$1,200,000
Central Payment Co., LLCGlobal Payments Inc.wage and hour violation2014WHD$29,634
Central Payment Co., LLCGlobal Payments Inc.wage and hour violation2014WHD$13,560
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2007NH-BSR$375,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2006FINRA$850,000
Catlin Insurance Company Inc.AXAinsurance violation2013SD-INS$5,000
Catlin Insurance Company Inc.AXAinsurance violation2018UT-INS$100,000
CATHAY BANKCathay General Bancorpbanking violation2008FDIC$55,500
CATHAY BANKCathay General Bancorpbanking violation2011FDIC$17,710
CashCall, Inc., WS Funding, LLC, and Delbert Services CorporationCashCall Inc.consumer protection violation2016CO-AG$7,384,005
CashCall, Inc., Western Sky Financial, LLC, WS Funding, LLCCashCall Inc.payday lending violation2016FL-OFR$500,000
CashCall, Inc. and WS Funding LLCCashCall Inc.consumer protection violation2022AZ-AG$4,800,000
CashCall, Inc. and Western Sky Financial, LLC et al.CashCall Inc.payday lending violation2014MD-FIN$100,018
CashCall, Inc. and Western Sky Financial L.L.C.CashCall Inc.payday lending violation2014CT-BKG$400,000
CashCall, Inc.CashCall Inc.consumer protection violation2016MN-AG$11,700,000
CashCall, Inc.CashCall Inc.consumer protection violation2017VA-AG$15,335,000
CashCall, Inc.CashCall Inc.payday lending violation2017AZ-DIFI$250,000
CashCall, Inc.CashCall Inc.payday lending violation2015CA-DFPI$1,000,000
CashCall, Inc.CashCall Inc.consumer protection violation2019NH-BKG$188,880
CashCall, Inc.CashCall Inc.consumer protection violation2017OK-DCC$1,000,000
CashCall, Inc.CashCall Inc.consumer protection violation2014WA-FIN$6,390,670
CashCall Inc., WS FundingCashCall Inc.consumer protection violation2017DC-AG$2,962,573
CashCall Inc. et al.CashCall Inc.consumer protection violation2014PA-BKG$1,000,000
CashCall Inc. and WS Funding LLCCashCall Inc.consumer protection violation2019NH-BKG$188,800
CashCall Inc.CashCall Inc.consumer protection violation2014IA-AG$1,500,000
CashCall Inc.CashCall Inc.consumer protection violation2015WV-AG$13,000,000
CashCall Inc.CashCall Inc.consumer protection violation2017SC-FIN$9,650,000
CashCall and Western SkyCashCall Inc.consumer protection violation2016NC-AG$9,000,000
Cash Call Inc. and Western Sky Financial LLCCashCall Inc.consumer protection violation2015WA-FIN$2,000,000
Cash America International, Inc.FirstCashconsumer protection violation2015KY-FIN$116,998
Cash America International Inc.FirstCashpayday lending violation2013CFPB$19,000,000
Cash America Advance, Inc.FirstCashpayday lending violation2019CA-DFPI$10,000
CASH AMERICAFirstCashworkplace safety or health violation2016OSHA$8,500
CAROLINA CASUALTY INSURANCE COW.R. Berkleyinsurance violation2011VA-INS$10,000
CAROLINA CASUALTY INSURANCE COW.R. Berkleyinsurance violation2012VA-INS$5,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2010MD-INS$5,500
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2010MD-INS$50,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2011MD-INS$5,500
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2011MD-INS$6,500
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$22,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$5,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$164,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$5,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$5,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$8,750
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$30,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2013MD-INS$5,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2013MD-INS$8,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2013MD-INS$48,950
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2014MD-INS$6,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2014MD-INS$42,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2015MD-INS$20,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2015MD-INS$20,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2016MD-INS$40,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2016MD-INS$31,100
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2022MD-INS$60,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2022MD-INS$9,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2011MD-INS$125,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2011MD-INS$7,500
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2011MD-INS$150,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2012MD-INS$6,168,545
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2012MD-INS$130,700
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2012MD-INS$7,800
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2013MD-INS$5,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2013MD-INS$5,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2013MD-INS$6,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2014MD-INS$42,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2014MD-INS$5,500
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2015MD-INS$7,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2016MD-INS$11,800
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2018MD-INS$20,250
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2018MD-INS$25,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2018MD-INS$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.