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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 ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon .
OZ Management LPSculptor Capital Managementdata submission deficiencies2015SEC$4,250,000
Santander Bank, N.A.Banco Santanderwage and hour violation2022private lawsuit-federal$4,250,000
Farmers Insurance GroupZurich Insurancediscriminatory practices (non-employment)2001OH-AG$4,300,000
GFI Securities LLCBGC Partnersinvestor protection violation2019SEC$4,300,000
Buckeye Pipe Line Co.IFM Investorsenvironmental violation2021EPA$4,350,000
CIT Technology Financing Services, Inc.First Citizens BancSharesconsumer protection violation2005NJ-AG$4,360,000
USAA CASUALTY INSURANCE CO ET AL.USAAinsurance violation2018VA-INS$4,396,720
U.S. BancorpU.S. Bancorpmortgage abuses2018FED$4,400,000
Chase Bank USA, N.A.JPMorgan Chaseconsumer protection violation2009NY-AG$4,400,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018SEC$4,450,000
St Paul Travelers Companies Inc.Travelersbenefit plan administrator violation2007private lawsuit-federal$4,450,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2005FINRA$4,478,000
Freedom Mortgage CorporationFreedom Mortgagewage and hour violation2019private lawsuit-federal$4,480,000
State Street CorporationState Street Corp.employment discrimination2017OFCCP$4,492,174
HealthNowHighmark Inc.insurance violation2011NY-DFS$4,492,327
Commonwealth Land Title Insurance Co. et al.Fidelity National Financialinsurance violation2006CA-INS$4,499,997
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2014SEC$4,500,000
Fidelity National Financial, Inc.Fidelity National Financialkickbacks and bribery2011HUD$4,500,000
Allstate Insurance CompanyAllstateemployment discrimination2009EEOC$4,500,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SEC$4,500,000
MBNA Corp.Bank of Americabenefit plan administrator violation2009private lawsuit-federal$4,500,000
Moneygram International, Inc.MoneyGram Internationalbenefit plan administrator violation2011private lawsuit-federal$4,500,000
ACE Group Holdings, Inc.Chubb Limitedprice-fixing or anti-competitive practices2007MULTI-AG$4,500,000
Citigroup Global Markets, Inc.Citigroupconsumer protection violation2015NY-AG$4,500,000
Citibank N.A.Citigroupinvestor protection violation2020CFTC$4,500,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2011FINRA$4,500,000
Wachovia SecuritiesWells Fargoinvestor protection violation2009FINRA$4,500,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2008FINRA$4,500,000
Allstate InsuranceAllstateprivacy violation2022private lawsuit-federal$4,500,000
UBS Financial Services, Inc.UBSinvestor protection violation2006MT-SEC$4,503,166
WFS Financial, Inc.Wells Fargodiscriminatory practices (non-employment)2004private lawsuit-federal$4,550,000
VOYA Financial Advisors Inc.Voya Financialinvestor protection violation2016FINRA$4,550,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2013NY-DFS$4,560,000
UBS Financial Services, IncUBSinvestor protection violation2013MULTI-AG$4,580,000
National City Mortgage Inc.PNC Financial ServicesFalse Claims Act and related2008DOJ_CIVIL$4,600,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2017CFPB$4,600,000
UBS Financial Services Inc.UBSinvestor protection violation2013MULTI-FIN$4,600,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2019FINRA$4,600,000
UBS Financial Services Inc.UBSinvestor protection violation2004SEC$4,621,768
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyinvestor protection violation2022SEC$4,628,194
Barclays Capital Inc.Barclaystoxic securities abuses2021NM-AG$4,642,857
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2021NM-AG$4,642,857
Goldman Sachs & Co. LLCGoldman Sachstoxic securities abuses2021NM-AG$4,642,857
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americatoxic securities abuses2021NM-AG$4,642,857
NatWest Markets Securities Inc.NatWest Group PLCtoxic securities abuses2021NM-AG$4,642,857
Washington Mutual Mortgage Securities Corp.JPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
CitigroupCitigroupwage and hour violation2015private lawsuit-federal$4,650,000
Selective Insurance CompaniesSelective Insurance Groupinsurance violation2018NY-DFS$4,666,268
ING Financial Partners, Inc.Voya Financialinvestor protection violation2008IL-SEC$4,677,326
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2015MULTI-AG$4,700,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2016MS-SEC$4,743,815
SunTrust Banks, Inc.Truist Financialbenefit plan administrator violation2018private lawsuit-federal$4,750,000
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2016VA-AG$4,750,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020CFPB$4,750,000
Morgan StanleyMorgan Stanleyprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$4,800,000
CashCall, Inc. and WS Funding LLCCashCall Inc.consumer protection violation2022AZ-AG$4,800,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2004SEC$4,844,465
H&R BlockH&R Blockconsumer protection violation2009CA-AG$4,850,000
Merrill LynchBank of Americainvestor protection violation2010NJ-AG$4,871,620
Progressive Advanced Insurance Company et al.Progressiveinsurance violation2019VA-INS$4,876,344
CommerceWest BankCommerceWest Bankfraud2015DOJ_CRIMINAL$4,900,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2017private lawsuit-federal$4,900,000
KeyBankKeyCorpwage and hour violation2013private lawsuit-federal$4,900,000
Hewitt AssociatesAonwage and hour violation2009private lawsuit-federal$4,900,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2004FINRA$4,950,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2014SEC$5,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2012CFTC$5,000,000
LavaFlow Inc.Citigroupinvestor protection violation2014SEC$5,000,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2012SEC$5,000,000
Republic New York Securities CorporationHSBCinvestor protection violation2001CFTC$5,000,000
U.S. Trust CorporationBank of Americabanking violation2001FED$5,000,000
SG Cowen Securities CorporationCowen Inc.investor protection violation2003SEC$5,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2000SEC$5,000,000
Wells Fargo Home MortgageWells Fargodiscriminatory practices (non-employment)2014HUD$5,000,000
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2007HUD$5,000,000
Chicago Title Insurance CompanyFidelity National Financialmortgage abuses2005HUD$5,000,000
State FarmState Farm Insurancewage and hour violation2013private lawsuit-federal$5,000,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2018SEC$5,000,000
LendingClub Asset Management LLCLendingClub Corp.investor protection violation2018SEC$5,000,000
Teachers Insurance and Annuity Insurance Association of AmericaTIAAbenefit plan administrator violation2017private lawsuit-federal$5,000,000
UNUM Life Insurance Company of AmericaUnumbenefit plan administrator violation2010private lawsuit-federal$5,000,000
Citibank N.A.Citigroupbankruptcy professional violation2018DOJ_UTP$5,000,000
UBS Financial Services Inc.UBSinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSanti-money-laundering deficiencies2018FINCEN$5,000,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NJ-AG$5,000,000
Jackson Hewitt, Inc.Jackson Hewittconsumer protection violation2007CA-AG$5,000,000
Principal Financial GroupPrincipal Financialkickbacks and bribery2007CT-AG$5,000,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-AG$5,000,000
Travelers Companies, Inc.Travelersconsumer protection violation2018CT-AG$5,000,000
Western Union Co.Western Unionconsumer protection violation2017MULTI-AG$5,000,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2019CFTC$5,000,000
GFI Securities LLCBGC Partnersprice-fixing or anti-competitive practices2019NY-AG$5,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseemployment discrimination2019private lawsuit-federal$5,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2020SEC$5,000,000
Regions BankRegions Financialbanking violation2014AL-SBD$5,000,000
Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2008CA-MHC$5,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2014CT-SEC$5,000,000
State Street Global AdvisorsState Street Corp.investor protection violation2012MA-SEC$5,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2012MA-SEC$5,000,000
American Security Insurance Company et al.Assurantinsurance violation2016MN-FIN$5,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.