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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
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2018MD-INS$5,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2019MD-INS$7,000
CAREFIRST BLUECHOICE, INC.CareFirst of Marylandinsurance violation2004VA-INS$118,000
CAREFIRST BLUECHOICE, INC.CareFirst of Marylandinsurance violation2007VA-INS$120,000
CAREFIRST BLUECHOICE, INC.CareFirst of Marylandinsurance violation2008VA-INS$5,000
CAREFIRST BLUECHOICE, INC.CareFirst of Marylandinsurance violation2011VA-INS$20,000
Carefirst Bluechoice, Inc.CareFirst of Marylandinsurance violation2020VA-INS$90,600
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2022MD-INS$10,000
CareFirst BlueChoiceCareFirst of Marylandconsumer protection violation2018DC-AG$50,000
CAREFIRST BLUE CHOICE INCCareFirst of Marylandinsurance violation2001VA-INS$12,000
Capital One, National AssociationCapital One Financialbanking violation2014OCC$4,000,000
Capital One, National AssociationCapital One Financialbanking violation2009OCC$125,000
Capital One, National AssociationCapital One Financialanti-money-laundering deficiencies2021FINCEN$290,000,000
CAPITAL ONE NATIONAL ASSOCIATIONCapital One Financialenvironmental violation2010TX-ENV$8,400
Capital One N.A.Capital One Financialconsumer protection violation2012DOJ_RIGHTS$12,000,000
Capital One Financial CorporationCapital One Financialaccounting fraud or deficiencies2013SEC$3,500,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2012OCC$35,000,000
Capital One Bank (USA), National AssociationCapital One Financialanti-money-laundering deficiencies2018OCC$100,000,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2020OCC$80,000,000
Capital One Bank (USA) N.A.Capital One Financialbankruptcy professional violation2011DOJ_UTP$2,350,000
Capital One Bank (U.S.A.), N.A.Capital One Financialconsumer protection violation2012CFPB$165,000,000
Capital One BankCapital One Financialbanking violation2005WI-AG$80,032
Capital One BankCapital One Financialdiscriminatory practices (non-employment)2022DOJ_RIGHTS$49,728
Capital One BankCapital One Financialprivacy violation2022private lawsuit-federal$95,000,000
Capital OneCapital One Financialwage and hour violation2015private lawsuit-federal$3,000,000
Capital OneCapital One Financialwage and hour violation2012private lawsuit-federal$3,200,000
Capital OneCapital One Financialconsumer protection violation2015MO-AG$740,000
Capital OneCapital One Financialprivacy violation2015private lawsuit-federal$73,000,000
Capital City Mortgage CorporationCapital City Bank Groupconsumer protection violation2005FTC$750,000
Capital City BankCapital City Bank Groupbanking violation2007FED$85,045
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2011CFTC$100,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2018SEC$1,250,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019SEC$647,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2020SEC$3,200,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019FINRA$2,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2015FINRA$7,300,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2022SEC$10,000,000
Cantor FitzgeraldCantor Fitzgeraldinvestor protection violation2012CFTC$700,000
Cantor FitzgeraldCantor Fitzgeraldinvestor protection violation2022CFTC$6,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$125,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceaccounting fraud or deficiencies2003SEC$80,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
California United BankPacWest Bancorpeconomic sanction violation2004OFAC$7,250
California Physicians' Service dba. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' Service dba. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' Service dba. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' Service dba. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2020CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2002CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2002CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2004CA-MHC$15,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2004CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2004CA-MHC$20,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2004CA-MHC$20,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2005CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2005CA-MHC$100,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$50,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$50,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$7,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$7,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2007CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2007CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2007CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2007CA-MHC$500,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2007CA-MHC$50,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2008CA-MHC$17,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2008CA-MHC$45,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2008CA-MHC$7,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2008CA-MHC$40,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2008CA-MHC$1,250,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2009CA-MHC$12,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2009CA-MHC$15,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2009CA-MHC$30,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$300,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$400,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2011CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2011CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2011CA-MHC$40,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2011CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2011CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2011CA-MHC$20,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2012CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2012CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2012CA-MHC$7,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2012CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2012CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2013CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2013CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2013CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2013CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2013CA-MHC$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.