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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,002,583,076
Number of Records: 6,975
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$82,898,016,192264
JPMorgan Chase$36,127,193,625218
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,879,318,334102
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649

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
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2008FINRA$250,000
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2011TX-SEC$500,000
BNY MellonBank of New York MellonForeign Corrupt Practices Act2015SEC$14,800,000
BNY MellonBank of New York Melloninvestor protection violation2017SEC$6,600,000
BNP Paribas USA Inc.BNP Paribasforeign exchange market manipulation2018DOJ_ANTITRUST$90,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasanti-money-laundering deficiencies2019FINRA$15,000,000
BNP Paribas Securities Corp.BNP Paribasinterest rate benchmark manipulation2018CFTC$90,000,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2020SEC$250,000
BNP Paribas SecuritiesBNP Paribasinvestor protection violation2015CFTC$140,000
BNP Paribas S.A.BNP Paribaseconomic sanction violation2015DOJ_CRIMINAL$8,973,600,000
BNP Paribas S.A.BNP Paribasforeign exchange market manipulation2017FED$246,000,000
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 Paribas S.A.BNP Paribasforeign exchange market manipulation2017NY-DFS$350,000,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasdata submission deficiencies2008CFTC$25,000
BNP Paribas (Suisse) SABNP Paribastax violations2015DOJ_TAX$59,783,000
BNP ParibasBNP ParibasFalse Claims Act and related2014DOJ_CIVIL$80,000,000
BNP ParibasBNP Paribaseconomic sanction violation2014NY-DFS$2,240,000,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealinvestor protection violation2019SEC$37,980,000
BMO Harris Bank, N.A.Bank of Montrealfraud2018USAO$10,000,000
BMO Harris Bank N.A.Bank of MontrealFamily and Medical Leave Act2015WHD$11,304
BMO Harris BankBank of Montrealemployment discrimination2013EEOC$400,000
BMO FinancialBank of Montrealwage and hour violation2016private lawsuit-federal$700,000
BMO FinancialBank of Montrealwage and hour violation2015private lawsuit-federal$3,900,000
BMO Capital Markets GKST Inc.Piper Sandlerinvestor protection violation2015SEC$250,000
BMO Capital Markets CorporationBank of Montrealinvestor protection violation2019SEC$3,946,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2019SEC$1,950,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2008FINRA$150,000
Blue Shield of California Promise Health PlanCalifornia Physicians' ServiceMedicare Parts C and D Enforcement Action2020CMS$148,506
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2012CA-MHC$50,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2013CA-MHC$120,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2013CA-MHC$5,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2014CA-MHC$75,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2014CA-MHC$9,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2016CA-MHC$5,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2017CA-MHC$7,500
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2017CA-MHC$20,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$65,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$10,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$150,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$20,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2022CA-MHC$17,500
Blue Shield of California Life & Health Insurance Co.California Physicians' Serviceinsurance violation2009CA-INS$285,000
Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2008CA-MHC$5,000,000
Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$900,000
Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$350,000
BlackRock Institutional Trust Company, N.A.BlackRockbenefit plan administrator violation2021private lawsuit-federal$9,650,000
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
BlackRock Advisors LLCBlackRockinvestor protection violation2015SEC$12,000,000
BGC Partners, Inc.BGC Partnersinvestor protection violation2020SEC$1,400,000
BGC Financial, LPBGC Partnersinvestor protection violation2019CFTC$15,000,000
BGC Financial, L.P.BGC Partnersinvestor protection violation2019CFTC$3,000,000
BGC Financial LPBGC Partnersforeign exchange market manipulation2019NY-AG$7,500,000
Berthel, Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2007NE-DBF$5,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2003ND-SEC$12,303
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2004ND-SEC$20,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2006ND-SEC$8,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2007MO-SEC$230,469
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2011MO-SEC$5,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2013MO-SEC$80,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2014FINRA$775,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2021SEC$389,425
Berthel Fisher & Company Financial Services, IncBerthel Fisherinvestor protection violation2019NH-BSR$415,407
Berthel Fisher & CompanyBerthel Fisherinvestor protection violation2003MN-FIN$10,000
Berkshire Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2019CT-INS$7,500
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2016TX-INS$8,000
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2018WA-INS$10,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$250,000,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2005IL-SEC$10,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2008FINRA$150,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2004FINRA$4,950,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2004FINRA$280,469
Bear Stearns Companies, LLCJPMorgan Chasemortgage abuses2008FTC$28,000,000
Bear Stearns Companies, Inc.JPMorgan Chasebenefit plan administrator violation2012private lawsuit-federal$10,000,000
Bear Stearns Companies Inc.JPMorgan Chasewage and hour violation2003WHD$358,974
Bear Stearns & Co. LLCJPMorgan Chaseinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Bear StearnsJPMorgan Chasewage and hour violation2010private lawsuit-federal$675,000
Bear StearnsJPMorgan Chaseinvestor protection violation2012MI-AG$275,000,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2016NY-DFS$100,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2017MULTI-FIN$1,000,000
BBVA Suiza S.A.Banco Bilbao Vizcaya Argentariatax violations2015DOJ_TAX$10,390,000
BB&T Securities, LLCTruist Financialinvestor protection violation2016SEC$200,000
BB&T Securities, LLCTruist Financialinvestor protection violation2015SEC$200,000
BB&T Securities, LLCTruist Financialinvestor protection violation2018SEC$100,000
BB&T Securities, LLCTruist Financialinvestor protection violation2019SEC$376,059
BB&T SecuritiesTruist Financialinvestor protection violation2019SEC$5,709,753
BB&T Leasing CorporationTruist Financialconsumer protection violation2006MULTI-AG$6,000,000
BB&T Leasing CompanyTruist Financialconsumer protection violation2005NY-AG$159,097
BB&T Equipment Finance LLCTruist Financialconsumer protection violation2021CA-DFPI$75,000
BB&T CorporationTruist Financialbenefit plan administrator violation2019private lawsuit-federal$24,000,000
BB&TTruist Financialeconomic sanction violation2007OFAC$10,000
BB&TTruist Financialwage and hour violation2011WHD$43,662
BB&TTruist Financialwage and hour violation2018private lawsuit-federal$72,336
Barclays PLCBarclaysforeign exchange market manipulation2015DOJ_CRIMINAL$710,000,000
Barclays PLCBarclaysinterest rate benchmark manipulation2012CFTC$200,000,000
Barclays PLCBarclaysforeign exchange market manipulation2018DOJ_CRIMINAL$12,896,011
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.