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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
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
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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CompanyCurrent ParentPrimary Offense Type sort iconYearAgencyPenalty Amount
PREMERA BLUE CROSSPremera Blue Crossinsurance violation2022WA-INS$5,000
Barclays Bank PLCBarclaysinsider trading2007SEC$10,943,561
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.insider trading2006SEC$3,755,839
Goldman Sachs & Co.Goldman Sachsillicit political contributions2012SEC$12,000,000
State Street Bank and Trust CompanyState Street Corp.illicit political contributions2016SEC$12,000,000
CitibankCitigroupillegal gambling business2002NY-AG$100,000
CitifinancialCitigrouphousing program violation2010MULTI-FIN$1,250,000
US BankU.S. Bancorphousing code violation2016CA-LACA$13,500,000
CommerceWest BankCommerceWest Bankfraud2015DOJ_CRIMINAL$4,900,000
ConvergEx Group LLCCowen Inc.fraud2014DOJ_CRIMINAL$43,800,000
Crawford Healthcare Management of Norfolk & BaltimoreCrawford & Co.fraud2003DOJ_CRIMINAL$8,000,000
Banc of America Securities LLCBank of Americafraud2007SEC$26,000,000
State Street CorporationState Street Corp.fraud2017DOJ_CRIMINAL$32,300,000
Allied Home MortgageAmericus Mortgagefraud2017USAO$296,298,325
AmSouth BancorporationRegions Financialfraud2004USAO$40,000,000
Credit LyonnaisCredit Agricolefraud2003USAO$100,000,000
Republic New York SecuritiesHSBCfraud2001USAO$569,000,000
HSBC Holdings plcHSBCfraud2018DOJ_CRIMINAL$100,000,000
BMO Harris Bank, N.A.Bank of Montrealfraud2018USAO$10,000,000
Bank of AmericaBank of Americafraud2016DC-AG$13,000,000
Bank of AmericaBank of Americafraud2010DC-AG$13,502,852
Wells Fargo & CompanyWells Fargofraud2020DOJ_CIVIL$3,000,000,000
Vitol Inc.Vitolfraud2020CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
JPMorgan Chase & Co.JPMorgan Chasefraud2020DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $920,000,000
State Street CorporationState Street Corp.fraud2021USAO$115,000,000
Credit Suisse Group AGCredit Suissefraud2021DOJ_CRIMINAL$175,500,000
NatWest Markets PlcNatWest Group PLCfraud2021DOJ_CRIMINAL$35,000,000
BARCLAYS BANK PLCBarclaysforeign exchange market manipulation2015FED$342,000,000
CiticorpCitigroupforeign exchange market manipulation2015DOJ_CRIMINAL$925,000,000
JPMorgan Chase & Co.JPMorgan Chaseforeign exchange market manipulation2015DOJ_CRIMINAL$550,000,000
Barclays PLCBarclaysforeign exchange market manipulation2015DOJ_CRIMINAL$710,000,000
Royal Bank of Scotland plcNatWest Group PLCforeign exchange market manipulation2015DOJ_CRIMINAL$395,000,000
Goldman SachsGoldman Sachsforeign exchange market manipulation2016CFTC$120,000,000
BNP Paribas S.A.BNP Paribasforeign exchange market manipulation2017FED$246,000,000
BNP Paribas USA Inc.BNP Paribasforeign exchange market manipulation2018DOJ_ANTITRUST$90,000,000
Barclays PLCBarclaysforeign exchange market manipulation2018DOJ_CRIMINAL$12,896,011
BGC Financial LPBGC Partnersforeign exchange market manipulation2019NY-AG$7,500,000
GFI Securities LLCBGC Partnersforeign exchange market manipulation2019NY-AG$5,000,000
Barclays Bank PLCBarclaysforeign exchange market manipulation2015NY-DFS$485,000,000
Barclays Bank PLCBarclaysforeign exchange market manipulation2015NY-DFS$150,000,000
BNP Paribas S.A.BNP Paribasforeign exchange market manipulation2017NY-DFS$350,000,000
Credit Suisse AGCredit Suisseforeign exchange market manipulation2017NY-DFS$135,000,000
Goldman Sachs Group Inc.Goldman Sachsforeign exchange market manipulation2018NY-DFS$54,750,000
Deutsche Bank AGDeutsche Bankforeign exchange market manipulation2018NY-DFS$205,000,000
Standard Chartered BankStandard Charteredforeign exchange market manipulation2019NY-DFS$40,000,000
Aon CorporationAonForeign Corrupt Practices Act2011DOJ_CRIMINAL$1,760,000
BNY MellonBank of New York MellonForeign Corrupt Practices Act2015SEC$14,800,000
Allianz SEAllianzForeign Corrupt Practices Act2012SEC$12,396,423
Aon CorporationAonForeign Corrupt Practices Act2011SEC$14,545,020
Och-Ziff Capital Management Group LLCSculptor Capital ManagementForeign Corrupt Practices Act2016DOJ_CRIMINAL$213,000,000
Och-Ziff Capital Management GroupSculptor Capital ManagementForeign Corrupt Practices Act2016SEC$199,045,167
JPMorgan Chase & Co.JPMorgan ChaseForeign Corrupt Practices Act2016SEC$130,000,000
Omega AdvisorsOmega AdvisorsForeign Corrupt Practices Act2007USAO$500,000
Credit Suisse (Hong Kong) LimitedCredit SuisseForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
Societe Generale S.A.Societe GeneraleForeign Corrupt Practices Act2018DOJ_CRIMINAL$860,000
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018DOJ_CRIMINAL$64,200,000
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018SEC$34,500,000
Credit Suisse Group AGCredit SuisseForeign Corrupt Practices Act2018SEC$29,700,000
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2019SEC$16,178,850
Barclays PLCBarclaysForeign Corrupt Practices Act2019SEC$6,308,726
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
Vitol Inc.VitolForeign Corrupt Practices Act2020DOJ_CRIMINAL$135,000,000
Goldman Sachs Group Inc.Goldman SachsForeign Corrupt Practices Act2020DOJ_CRIMINAL$2,921,088,000
Goldman Sachs Group Inc.Goldman SachsForeign Corrupt Practices Act2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000
Deutsche BankDeutsche BankForeign Corrupt Practices Act2021DOJ_CRIMINAL$87,091,424
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2021SEC$43,000,000
Credit Suisse Group AGCredit SuisseForeign Corrupt Practices Act2021SEC$99,000,000
Glencore International A.G. and Glencore Ltd.GlencoreForeign Corrupt Practices Act2022DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,185,000,000
Jardine Lloyd Thompson Group Holdings Ltd.Marsh & McLennanForeign Corrupt Practices Act2022DOJ_CRIMINAL$29,081,951
American Family Life Assurance Co., known as AflacAflacFamily and Medical Leave Act2012WHD$16,882
Univest Corporation of PennsylvaniaUnivest FinancialFamily and Medical Leave Act2016WHD$5,076
Wells Fargo Bank, N. A.Wells FargoFamily and Medical Leave Act2016WHD$11,874
BMO Harris Bank N.A.Bank of MontrealFamily and Medical Leave Act2015WHD$11,304
IAC Springfield, LLCInvescoFamily and Medical Leave Act2015WHD$5,377
TitleMax of Missouri, Inc.TMX FinanceFamily and Medical Leave Act2015WHD$11,648
Huntington Bancshares IncorporatedHuntington BancsharesFamily and Medical Leave Act2015WHD$7,788
Asset Acceptance, LLCEncore Capital GroupFamily and Medical Leave Act2014WHD$7,450
TMX Finance LLCTMX FinanceFamily and Medical Leave Act2012WHD$36,596
State Farm Mutual Automobile Insurance CompanState Farm InsuranceFamily and Medical Leave Act2010WHD$27,787
Metropolitan Life Insurance CompanyMetLifeFamily and Medical Leave Act2009WHD$6,375
Bank of AmericaBank of AmericaFamily and Medical Leave Act2008WHD$6,500
J P Morgan ChaseJPMorgan ChaseFamily and Medical Leave Act2007WHD$5,008
Wells Fargo BankWells FargoFamily and Medical Leave Act2006WHD$5,152
The Cincinnati Insurance CompaniesCincinnati FinancialFamily and Medical Leave Act2005WHD$15,000
American Express Travel Related Services CompAmerican ExpressFamily and Medical Leave Act2004WHD$26,722
Bank of AmericaBank of AmericaFamily and Medical Leave Act2017WHD$14,528
Franklin Templeton Distributors, Inc.Franklin ResourcesFamily and Medical Leave Act2016WHD$23,252
Regions Financial CorporationRegions FinancialFamily and Medical Leave Act2021WHD$7,210
M&T Bank Corp.M&T BankFalse Claims Act and related2016DOJ_CIVIL$64,000,000
Freedom Mortgage CorporationFreedom MortgageFalse Claims Act and related2016DOJ_CIVIL$113,000,000
Wells Fargo Bank, National AssociationWells FargoFalse Claims Act and related2016DOJ_CIVIL$1,200,000,000
First Tennessee Bank N.A.First Horizon NationalFalse Claims Act and related2015DOJ_CIVIL$212,500,000
MetLife Home Loans LLCMetLifeFalse Claims Act and related2015DOJ_CIVIL$123,500,000
U.S. BankU.S. BancorpFalse Claims Act and related2014DOJ_CIVIL$200,000,000
JPMorgan ChaseJPMorgan ChaseFalse Claims Act and related2014DOJ_CIVIL$614,000,000
PNC Bank N.APNC Financial ServicesFalse Claims Act and related2013DOJ_CIVIL$7,100,000
Walter Investment Management Corp.Ditech Holding CorporationFalse Claims Act and related2015DOJ_CIVIL$29,630,000
Fireman's Fund Insurance CompanyAllianzFalse Claims Act and related2015DOJ_CIVIL$44,000,000
BNP ParibasBNP ParibasFalse Claims Act and related2014DOJ_CIVIL$80,000,000
SunTrust Mortgage Inc.Truist FinancialFalse Claims Act and related2014DOJ_CIVIL$418,000,000
Louis Dreyfus Energy ServicesLouis DreyfusFalse Claims Act and related2012DOJ_CIVIL$4,084,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.