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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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CompanyCurrent ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
Crawford and CompanyCrawford & Co.False Claims Act and related2006DOJ_CIVIL$1,363,204
Highmark, Inc.Highmark Inc.False Claims Act and related2004DOJ_CIVIL$1,500,000
General American Life Insurance Company, Inc.MetLifeFalse Claims Act and related2002DOJ_CIVIL$76,000,000
Regions BankRegions FinancialFalse Claims Act and related2016DOJ_CIVIL$52,400,000
Branch Banking & Trust Company (BB&T)Truist FinancialFalse Claims Act and related2016DOJ_CIVIL$83,000,000
Deutsche BankDeutsche Banktoxic securities abuses2017DOJ_CIVIL$7,200,000,000
Credit SuisseCredit Suissetoxic securities abuses2017DOJ_CIVIL$5,280,000,000
PHH Corp.Ocwen FinancialFalse Claims Act and related2017DOJ_CIVIL$74,453,802
IBERIABANKFirst Horizon NationalFalse Claims Act and related2017DOJ_CIVIL$11,692,149
Royal Bank of Scotland Group plcNatWest Group PLCtoxic securities abuses2018DOJ_CIVIL$4,900,000,000
Wells Fargo Bank, N.A.Wells Fargotoxic securities abuses2018DOJ_CIVIL$2,090,000,000
Wells Fargo & CompanyWells Fargofraud2020DOJ_CIVIL$3,000,000,000
Guaranteed Rate Inc.Guaranteed Rate Inc.False Claims Act and related2020DOJ_CIVIL$15,060,000
RBS PLC and RBS Securities JapanNatWest Group PLCinterest rate benchmark manipulation2014DOJ_ANTITRUST$150,000,000
UBS Securities Japan Co. Ltd.UBSinterest rate benchmark manipulation2012DOJ_ANTITRUST$500,000,000
Wachovia Bank N.A.Wells Fargoprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$148,000,000
Morgan StanleyMorgan Stanleyprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$4,800,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$228,000,000
UBS AGUBSprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010DOJ_ANTITRUST$137,300,000
Manulife Financial CorporationManulife Financialinvestor protection violation2004DOJ_ANTITRUST$1,000,000
DB Group Services (UK) LimitedDeutsche Bankinterest rate benchmark manipulation2017DOJ_ANTITRUST$150,000,000
BNP Paribas USA Inc.BNP Paribasforeign exchange market manipulation2018DOJ_ANTITRUST$90,000,000
Banca IMI Securities Corp.Intesa Sanpaoloprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$2,000,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinaprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$3,000,000
Goldman SachsGoldman Sachstoxic securities abuses2016DOJ$5,060,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016DOJ$2,600,000,000
HSBC Bank USA NAHSBCmortgage abuses2016DOJ$470,000,000
Citigroup Inc.Citigrouptoxic securities abuses2014DOJ$7,000,000,000
Bank of America CorporationBank of Americamortgage abuses2014DOJ$16,650,000,000
JPMorgan ChaseJPMorgan Chasetoxic securities abuses2013DOJ$13,000,000,000
Bank of America CorporationBank of Americamortgage abuses2012DOJ$10,956,600,000
JPMorgan Chase & Co.JPMorgan Chasemortgage abuses2012DOJ$5,333,600,000
Wells Fargo & CompanyWells Fargomortgage abuses2012DOJ$5,342,200,000
Citigroup Inc.Citigroupmortgage abuses2012DOJ$2,202,000,000
Ally Financial Inc. (formerly GMAC)Ally Financialmortgage abuses2012DOJ$309,600,000
Janney Montgomery Scott, Inc.Penn Mutualinvestor protection violation2001DE-SEC$210,909
Wilmington Trust Co.M&T Bankinvestor protection violation2005DE-SEC$50,000
Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009DE-SEC$40,000
PNC Investments LLCPNC Financial Servicesinvestor protection violation2010DE-SEC$250,000
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2012DE-SEC$20,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsinvestor protection violation2015DE-SEC$685,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2015DE-SEC$105,000
LPL Financial LLCLPL Financialinvestor protection violation2015DE-SEC$200,000
Allstate Insurance Co.Allstateinsurance violation2011DE-INS$25,000
State Farm Fire & Casualty Co.State Farm Insuranceinsurance violation2012DE-INS$150,000
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2014DE-INS$6,000
Titan Indemnity Co.Nationwideinsurance violation2014DE-INS$25,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014DE-INS$10,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2014DE-INS$27,600
Nationwide Mutual Insurance Co.Nationwideinsurance violation2015DE-INS$15,000
Highmark BCBSD Inc.Highmark Inc.insurance violation2016DE-INS$383,000
21st Century Centennial Insurance Co.Zurich Insuranceinsurance violation2016DE-INS$27,500
Progressive Northern Insurance Co.Progressiveinsurance violation2016DE-INS$7,000
HomeSite Insurance Co.American Family Insuranceinsurance violation2016DE-INS$15,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2016DE-INS$55,500
United Services Automobile Association et al.USAAinsurance violation2016DE-INS$34,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2016DE-INS$487,000
State Farm Fire & Casualty Insurance Co. and State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2016DE-INS$28,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2017DE-INS$79,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2018DE-INS$76,000
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2018DE-INS$17,000
New York Life Insurance and Annuity Corp.New York Life Insuranceinsurance violation2018DE-INS$5,000
State Farm Fire & Casualty Co. and State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2018DE-INS$24,000
Principal Life Insurance Co.Principal Financialinsurance violation2018DE-INS$200,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2018DE-INS$17,000
AXA Equitable Life Insurance Co.Equitable Holdingsinsurance violation2018DE-INS$5,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2018DE-INS$75,000
Nationwide Life Insurance Co. and Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2018DE-INS$45,500
Allstate Insurance Co. et al.Allstateinsurance violation2019DE-INS$12,500
United Service Automobile Association et al.USAAinsurance violation2019DE-INS$32,500
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019DE-INS$13,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2019DE-INS$8,000
American General Life Insurance Co.American International Groupinsurance violation2019DE-INS$85,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2019DE-INS$18,000
Hartford Underwriters Insurance Co. et al.Hartford Financial Servicesinsurance violation2019DE-INS$23,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2019DE-INS$41,200
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2019DE-INS$20,000
Bankers Standard Insurance Co. et al.Chubb Limitedinsurance violation2019DE-INS$16,000
Nationwide General Insurance Co. et al.Nationwideinsurance violation2019DE-INS$56,600
First American Title Insurance Co.First American Financialinsurance violation2019DE-INS$36,000
Praetorian Insurance Co. and QBE Insurance Corp. and QBE Speciality Insurance Co.QBE Insuranceinsurance violation2019DE-INS$70,100
Foremost Property and Casualty Insurance Co. et al.Zurich Insuranceinsurance violation2019DE-INS$11,000
Hartford Underwriters Insurance Co. et al.Hartford Financial Servicesinsurance violation2020DE-INS$34,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2020DE-INS$6,000
Highmark BCBSD IncHighmark Inc.insurance violation2020DE-INS$299,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2020DE-INS$20,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2021DE-INS$5,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2021DE-INS$91,000
Principal Life Insurance Co.Principal Financialinsurance violation2021DE-INS$23,000
Progressive Direct Insurance CompanyProgressiveinsurance violation2021DE-INS$6,500
American General Life Insurance CompanyAmerican International Groupinsurance violation2021DE-INS$106,000
Pruco Life Insurance CompanyPrudential Financialinsurance violation2022DE-INS$32,000
MBNABank of Americaenvironmental violation2002DE-ENV$225,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009DE-AG$309,000
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014DE-AG$51,400
Merrill LynchBank of Americainvestor protection violation2009DE-AG$459,000
Merrill LynchBank of Americainvestor protection violation2002DE-AG$500,000
Morgan Stanley DWMorgan Stanleyinvestor protection violation2005DE-AG$700,000
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2009DE-AG$22,156
Santander Consumer USA Holdings, Inc.Banco Santanderconsumer protection violation2017DE-AG$3,875,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.