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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$347,398,347,522
Number of Records: 7,169
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 .
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americainvestor protection violation2016FINRA$2,800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2012FINRA$2,800,000
ICAP Corporates LLCCME Groupinvestor protection violation2009FINRA$2,800,000
Bank of AmericaBank of Americaconsumer protection violation2014HI-AG$2,825,000
CitibankCitigroupconsumer protection violation2014HI-AG$2,825,000
Discover Financial ServicesDiscover Financial Servicesconsumer protection violation2014HI-AG$2,825,000
JP Morgan ChaseJPMorgan Chaseconsumer protection violation2014HI-AG$2,825,000
Chevy Chase Bank F.S.B.Capital One Financialmortgage abuses2013DOJ_RIGHTS$2,850,000
Cleco CorporationMacquarieenergy market violation2003FERC$2,850,000
Cleco CorporationMacquarieenergy market violation2003FERC$2,850,000
Janney Montgomery ScottPenn Mutualwage and hour violation2009private lawsuit-federal$2,880,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsinvestor protection violation2013SEC$2,886,677
Goldman, Sachs & Co.Goldman Sachstoxic securities abuses2016VA-AG$2,900,000
Wells FargoWells Fargoconsumer protection violation2004NY-AG$2,900,000
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015FINRA$2,900,000
Morgan StanleyMorgan Stanleyinvestor protection violation2006FINRA$2,900,000
Wilmington Finance Inc.OneMain Holdingswage and hour violation2008private lawsuit-federal$2,925,000
United States Fidelity and Guaranty Co.TravelersFalse Claims Act and related2010MA-AG$2,925,000
Intesa Sanpaolo S.p.A.Intesa Sanpaoloeconomic sanction violation2013OFAC$2,949,030
Time Insurance Co. and John Alden Life Insurance Co. and Union Securitiy Insurance Co.Haven Holdingsinsurance violation2012IN-INS$2,950,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015FINRA$2,950,000
CashCall Inc., WS FundingCashCall Inc.consumer protection violation2017DC-AG$2,962,573
Citigroup Global MarketsCitigroupinvestor protection violation2017SEC$2,963,735
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2017SEC$2,963,735
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016FINRA$2,966,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2005FINRA$2,970,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2019SEC$2,971,462
National Western Life Insurance Co.National Western Lifeinsurance violation2014NJ-DBI$2,973,656
AllianceBernsteinEquitable Holdingswage and hour violation2013private lawsuit-federal$2,980,000
Deutsche Bank SecuritiesDeutsche Bankaccounting fraud or deficiencies2014CFTC$3,000,000
ICE Futures U.S. Inc.IntercontinentalExchange Groupinvestor protection violation2015CFTC$3,000,000
Cinergy Marketing & Trading, LPBNP Paribasdata submission deficiencies2004CFTC$3,000,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.Nomuratoxic securities abuses2016NCUA$3,000,000
Bank of New York Mellon CorporationBank of New York Mellonbanking violation2017FED$3,000,000
First National Bank of OmahaFirst National of Nebraskabanking violation2016OCC$3,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2018private lawsuit-federal$3,000,000
Capital OneCapital One Financialwage and hour violation2015private lawsuit-federal$3,000,000
Wells FargoWells Fargowage and hour violation2014private lawsuit-state$3,000,000
Citizens BankCitizens Financial Groupwage and hour violation2014private lawsuit-federal$3,000,000
TCF National BankHuntington Bancsharesbanking violation2018OCC$3,000,000
Flagstar Bancorp, Inc.New York Community Bancorpbenefit plan administrator violation2013private lawsuit-federal$3,000,000
New York Life Insurance CompanyNew York Life Insurancebenefit plan administrator violation2017private lawsuit-federal$3,000,000
Principal Life Insurance CompanyPrincipal Financialbenefit plan administrator violation2015private lawsuit-federal$3,000,000
Wilmington Trust Corp.M&T Bankbenefit plan administrator violation2014private lawsuit-federal$3,000,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinaprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$3,000,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2011MULTI-AG$3,000,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2007NY-AG$3,000,000
BGC Financial, L.P.BGC Partnersinvestor protection violation2019CFTC$3,000,000
ING Life Insurance and Annuity CompanyVoya Financialinvestor protection violation2006NH-BSR$3,000,000
American Bankers Insurance Group Inc.Assurantinsurance violation2001MULTI-FIN$3,000,000
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2011MULTI-FIN$3,000,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2017MULTI-FIN$3,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2011FINRA$3,000,000
Merrill LynchBank of Americainvestor protection violation2011FINRA$3,000,000
Nuveen Investments, LLCTIAAinvestor protection violation2011FINRA$3,000,000
Banc of America Investment Services Inc.Bank of Americaanti-money-laundering deficiencies2007FINRA$3,000,000
Wells Fargo InvestmentsWells Fargoinvestor protection violation2005FINRA$3,000,000
Pacific Life Insurance CompanyPacific Lifeinsurance violation2021NY-DFS$3,000,000
MetLifeMetLifewage and hour violation2013private lawsuit-federal$3,003,000
W.R. Berkley Corp.W.R. Berkleyinsurance violation2017CA-INS$3,015,000
Sterling Financial CorporationUmpqua Holdingsbenefit plan administrator violation2013private lawsuit-federal$3,025,000
U.S. BankU.S. Bancorpwage and hour violation2015private lawsuit-federal$3,031,075
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2021CO-AG$3,065,000
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2017SEC$3,095,953
M&T BankM&T Bankconsumer protection violation2014CFPB$3,100,000
Prospect Mortgage, LLCHomebridge Financial Serviceskickbacks and bribery2011HUD$3,100,000
Huntington BancsharesHuntington Bancshareswage and hour violation2013private lawsuit-federal$3,100,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$3,100,000
State FarmState Farm Insuranceconsumer protection violation2000TX-AG$3,100,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2014CA-DFPI$3,141,000
Metropolitan Property & Casualty Co.Zurich Insuranceconsumer protection violation2019MS-AG$3,167,173
Edward D. Jones & Co., L.P.Jones Financialbenefit plan administrator violation2019private lawsuit-federal$3,175,000
U.S. BankU.S. Bancorpbanking violation2013CFPB$3,200,000
METLIFE, INCMetLifebanking violation2012FED$3,200,000
Capital OneCapital One Financialwage and hour violation2012private lawsuit-federal$3,200,000
Enova International, Inc.Enova Internationalconsumer protection violation2019CFPB$3,200,000
Countrywide Home Loans, Inc.,Bank of Americaconsumer protection violation2006NY-AG$3,200,000
Sun Life Insurance CompanySun Life Financialinsurance violation2014MULTI-AG$3,200,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2011NJ-AG$3,200,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2020SEC$3,200,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$3,250,000
Fifth Third BankFifth Third Bancorpwage and hour violation2015private lawsuit-federal$3,250,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2016FINRA$3,250,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2013FINRA$3,250,000
Axa S.A.AXAinsurance violation2015MULTI-AG$3,280,000
American Express Co.American Expressconsumer protection violation2003NY-AG$3,285,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2011SEC$3,300,000
General American Life Insurance CompanyMetLifeinvestor protection violation2007SEC$3,300,000
H&R BlockH&R Blockconsumer protection violation2003MULTI-AG$3,300,000
Globe Life and Accident Insurance Company of Omaha, NebraskaGlobe Life Inc.insurance violation2019MULTI-FIN$3,300,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009NJ-AG$3,300,932
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2019SEC$3,389,174
Santander Bank, National AssociationBanco Santanderbanking violation2016OCC$3,400,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008NH-BSR$3,400,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2017FINRA$3,400,000
Raymond James & Associates Inc.Raymond James Financialinvestor protection violation2000FINRA$3,410,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016FINRA$3,425,000
Prospect Mortgage, LLCHomebridge Financial Servicesmortgage abuses2013NY-DFS$3,427,155
AllstateAllstateconsumer protection violation2003TX-AG$3,440,000
Capital One Financial CorporationCapital One Financialaccounting fraud or deficiencies2013SEC$3,500,000
Assurant Inc.Assurantaccounting fraud or deficiencies2010SEC$3,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.