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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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 Parent sort icon . Primary Offense TypeYearAgencyPenalty Amount
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$7,500
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$7,500
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' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$7,500
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$150,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$30,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$89,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$12,500
California Physicians' ServiceCalifornia Physicians' ServiceMedicare Parts C and D Enforcement Action2022CMS$40,282
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$7,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$15,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$10,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2022CA-MHC$17,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$15,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$10,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$17,500
BancorpSouth BankCadence Bankmortgage abuses2016CFPB$10,600,000
BANCORPSOUTH BANKCadence Bankbanking violation2011FDIC$46,500
Brown Brothers Harriman & Co.Brown Brothers Harrimaninvestor protection violation2014SEC$120,000
Brown Brothers Harriman & Co.Brown Brothers Harrimananti-money-laundering deficiencies2014FINRA$8,000,000
Brown & BrownBrown & Brownemployment discrimination2017EEOC$100,000
Brown & Brown Insurance of Arizona, Inc.Brown & Browntax violations2014CT-AG$37,650
Brown & Brown, Inc.Brown & Brownconsumer protection violation2006FL-AG$5,800,000
Pacific Resources Benefits Advisors, LLCBrown & Browntax violations2014CT-AG$5,400
Brown & Brown of Washington, Inc.Brown & Browninsurance violation2012AK-INS$30,000
Brown & Brown Insurance Agency of Virginia, Inc.Brown & Browninsurance violation2006VA-INS$5,000
BROADRIDGE FINANCIAL SOLUTIONS INCBroadridge Financial Solutionsenvironmental violation2008NJ-ENV$6,500
BROADRIDGE FINANCIAL SOLUTIONSBroadridge Financial Solutionsworkplace safety or health violation2018OSHA$15,522
BROADRIDGE FINANCIAL SOLUTIONS, INC.Broadridge Financial Solutionsworkplace safety or health violation2019OSHA$8,335
New England Life Insurance Co.Brighthouse Financialinsurance violation2006CO-INS$32,000
New England Life Insurance CompanyBrighthouse Financialinsurance violation2005MA-INS$13,000
NEW ENGLAND LIFE INSURANCE CO.Brighthouse Financialinsurance violation2002VA-INS$9,000
Comenity Bank and Comenity Capital BankBread Financial Holdingsbanking violation2015FDIC$63,950,000
Alliance Data Systems, Inc.Bread Financial Holdingswage and hour violation2003WHD$40,320
BOK Financial CorporationBOK Financialinvestor protection violation2016SEC$1,667,720
BOK Financial Corporation dba the Bank of AlbuquerqueBOK Financialemployment discrimination2014EEOC$230,000
Bok Financial Securities, Inc.BOK Financialinvestor protection violation2019SEC$197,801
BOK Financial Securities, Inc.BOK Financialinsurance violation2020CA-INS$5,000
BNP Paribas S.A.BNP Paribaseconomic sanction violation2015DOJ_CRIMINAL$8,973,600,000
BNP Paribas SecuritiesBNP Paribasinvestor protection violation2015CFTC$140,000
BNP Paribas (Suisse) SABNP Paribastax violations2015DOJ_TAX$59,783,000
BNP ParibasBNP ParibasFalse Claims Act and related2014DOJ_CIVIL$80,000,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasdata submission deficiencies2008CFTC$25,000
Cinergy Marketing & Trading, LPBNP Paribasdata submission deficiencies2004CFTC$3,000,000
BNP Paribas S.A.BNP Paribasprice-fixing or anti-competitive practices2017FED$246,000,000
BNP Paribas USA Inc.BNP Paribasprice-fixing or anti-competitive practices2018DOJ_ANTITRUST$90,000,000
BNP Paribas Securities Corp.BNP Paribasprice-fixing or anti-competitive practices2018CFTC$90,000,000
BNP Paribas S.A.BNP Paribaseconomic sanction violation2014NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,243,400,000
BNP ParibasBNP Paribaseconomic sanction violation2014NY-DFS(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,240,000,000
BNP Paribas S.A.BNP Paribasprice-fixing or anti-competitive practices2017NY-DFS$350,000,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2020SEC$250,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasanti-money-laundering deficiencies2019FINRA$15,000,000
BNP ParibasBNP Paribasinvestor protection violation2022CFTC$6,000,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019CO-INS$147,775
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2016DE-INS$487,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2017KS-INS$100,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2012MT-INS$12,500
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2013NY-DFS$150,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2016NY-DFS$146,485
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019NY-DFS$648,122
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2017SD-INS$40,000
COMPANION LIFE INSURANCE CO.BlueCross BlueShield of South Carolinainsurance violation2016VA-INS$44,220
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2019VT-FIN$1,656,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2021MULTI-FIN$5,000,000
BlackRock Advisors LLCBlackRockinvestor protection violation2015SEC$12,000,000
BlackRock Institutional Trust Company NABlackRockinvestor protection violation2012CFTC$250,000
BlackRock Institutional Trust CompanyBlackRockinvestor protection violation2014SEC$1,675,350
BlackRock Inc.BlackRockinvestor protection violation2017SEC$340,000
Blackrock Fund AdvisorsBlackRockinvestor protection violation2017SEC$1,500,000
State Street Research & Management CompanyBlackRockinvestor protection violation2005SEC$585,743
State Street Research Investment Services, Inc.BlackRockinvestor protection violation2004FINRA$1,500,000
BlackRock Institutional Trust Company, N.A.BlackRockbenefit plan administrator violation2021private lawsuit-federal$9,650,000
BGC Financial, L.P.BGC Partnersinvestor protection violation2019CFTC$3,000,000
BGC Financial, LPBGC Partnersinvestor protection violation2019CFTC$15,000,000
GFI Securities, LLCBGC Partnersinvestor protection violation2019CFTC$10,000,000
BGC Financial LPBGC Partnersprice-fixing or anti-competitive practices2019NY-AG$7,500,000
GFI Securities LLCBGC Partnersprice-fixing or anti-competitive practices2019NY-AG$5,000,000
GFI Securities LLCBGC Partnersinvestor protection violation2019SEC$4,300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.