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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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
Safety First Insurance Co.Tokio Marineinsurance violation2013MO-INS$12,250
Safety National Casualty Co.Tokio Marineinsurance violation2013MO-INS$61,250
Safety National Casualty Corp.Tokio Marineinsurance violation2017MD-INS$5,000
Safety National Casualty Corp.Tokio Marineinsurance violation2004MS-INS$5,000
Safety National Casualty Corp.Tokio Marineinsurance violation2008MS-INS$10,000
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$9,500
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$15,500
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$39,000
Safety National Casualty Corp.Tokio Marineinsurance violation2023TX-INS$19,000
Safety National Casualty CorporationTokio Marineinsurance violation2014TX-INS$32,109
Safety National Casualty CorporationTokio Marineinsurance violation2015TX-INS$5,000
Safety National Casualty CorporationTokio Marineinsurance violation2018TX-INS$23,500
Safety National Casualty CorporationTokio Marineinsurance violation2019TX-INS$5,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$12,500
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$9,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$34,500
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$22,000
Safety National Casualty CorporationTokio Marineinsurance violation2023TX-INS$10,000
Safety National Casualty CorporationTokio Marineinsurance violation2023TX-INS$17,000
Sagamore Insurance Co.Progressiveinsurance violation2001KS-INS$20,000
Sagamore Insurance Co.Progressiveinsurance violation2021TX-INS$20,000
Sallie MaeSLM Corp.consumer protection violation2007NY-AG$2,000,000
Sallie Mae BankSLM Corp.banking violation2014FDIC$93,300,000
Sallie Mae Inc.SLM Corp.consumer protection violation2014DOJ_RIGHTS$60,000,000
Sallie Mae Inc.SLM Corp.consumer protection violation2013private lawsuit-federal$76,000,000
Salomon Smith BarneyMorgan Stanleyemployment discrimination2001EEOC$635,000
Salomon Smith BarneyMorgan Stanleyinvestor protection violation2002FINRA$5,000,000
Salomon Smith Barney Inc.Morgan Stanleydata submission deficiencies2002SEC$1,650,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2000SEC$45,000,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor 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. $400,000,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Sanford C. Bernstein & Co.Equitable Holdingsinvestor protection violation2006FINRA$350,000
SantanderBanco Santanderconsumer protection violation2021MS-AG$3,700,000
Santander Bank & Trust (Bahamas) LtdBanco Santandereconomic sanction violation2004OFAC$20,000
Santander Bank, N.A.Banco Santanderconsumer protection violation2016CFPB$10,000,000
Santander Bank, N.A.Banco Santanderconsumer protection violation2015NY-AG$500,000
Santander Bank, N.A.Banco Santanderwage and hour violation2022private lawsuit-federal$4,250,000
Santander Bank, National AssociationBanco Santanderbanking violation2016OCC$3,400,000
Santander Bank, National AssociationBanco Santanderbanking violation2015OCC$6,000,000
Santander Consumer USABanco Santanderconsumer protection violation2022MA-AG$5,560,000
Santander Consumer USA Holdings Inc.Banco Santanderinvestor protection violation2018SEC$1,500,000
Santander Consumer USA Holdings Inc.Banco Santanderconsumer protection violation2017MA-AG$22,000,000
Santander Consumer USA Holdings, Inc.Banco Santanderconsumer protection violation2017DE-AG$3,875,000
Santander Consumer USA Inc, dba Chrysler CapitalBanco Santanderconsumer protection violation2021DOJ_RIGHTS$134,282
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015DOJ_RIGHTS$9,350,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CFPB$11,790,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020MULTI-AG$550,000,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CT-BKG$100,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015NH-BKG$75,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020VT-AG$105,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020CFPB$4,750,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015private lawsuit-federal$199,407,884
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2018CA-DFPI$300,000
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2021CO-AG$3,065,000
Santander Mortgage CorporationBanco Santanderwage and hour violation2004WHD$62,895
Santander Securities LLCBanco Santanderinvestor protection violation2019SEC$270,539
Santander Securities LLCBanco Santanderconsumer protection violation2019MA-AG$100,000
Santander Securities LLCBanco Santanderinvestor protection violation2015FINRA$6,421,000
Santander Securities of Puerto RicoBanco Santanderinvestor protection violation2011FINRA$2,000,000
Santander Securities, LLCBanco Santanderinvestor protection violation2018NH-BSR$31,562
Santander Securities, LLCBanco Santanderinvestor protection violation2019NH-BSR$50,000
Santander USA Holdings Inc.Banco Santanderconsumer protection violation2015MA-AG$5,400,000
Saxon Mortgage ServicesOcwen Financialconsumer protection violation2010MD-FIN$71,000
Saxon Mortgage Services Inc.Ocwen Financialmortgage abuses2011DOJ_CIVIL$2,350,000
Saxon Mortgage Services, Inc.Ocwen Financialconsumer protection violation2012FL-OFR$15,000
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-BKG$10,510
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-SEC$7,500
Schwab Capital MarketsUBSinvestor protection violation2001FINRA$12,000
Schwab Capital Markets, L.P.UBSinvestor protection violation2004FINRA$70,000
SCOR Global Life U.S. Re Insurance CompanySCORinsurance violation2011TX-INS$99,000
SCOR Global Life U.S. Re Insurance Company of TexasSCORinsurance violation2011TX-INS$90,000
Scor Reinsurance CompanySCORinsurance violation2009PA-INS$5,000
Scotia Capital (USA) Inc.Scotiabankinvestor protection violation2023SEC$7,500,000
Scotia Capital Inc.Scotiabankinvestor protection violation2010CFTC$250,000
Scott Danahy Naylon Co. Inc.Financial Institutions Inc.wage and hour violation2005WHD$5,495
ScottradeCharles Schwab Corp.data submission deficiencies2014SEC$2,500,000
ScottradeCharles Schwab Corp.anti-money-laundering deficiencies2009FINRA$600,000
Scottrade Inc.Charles Schwab Corp.investor protection violation2016TX-SEC$100,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2008SEC$950,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2015FINRA$2,600,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2015FINRA$300,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2010FINRA$200,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2005FINRA$250,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2004FINRA$16,000
Scottsdale Insurance Co.Nationwideinsurance violation2010AZ-DIFI$37,500
Scottsdale Insurance Co.Nationwideinsurance violation2005FL-OFR$5,000
Scottsdale Insurance Co.Nationwideinsurance violation2021NH-INS$10,579
Scottsdale Insurance CompanyNationwideinsurance violation2000MA-INS$26,208
Seabury & Smith Inc.Marsh & McLennaneconomic sanction violation2005OFAC$46,341
Seabury & Smith Inc.Marsh & McLennaninsurance violation2007PA-INS$25,000
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2006AK-INS$6,530
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2009AK-INS$39,378
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2013OCC$26,950
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2006OCC$16,500
Securian FinancialSecurian Financialwage and hour violation2022MI-LEO$12,530
Securian Financial Services Inc.Securian Financialinvestor protection violation2009TX-SEC$50,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2020AK-DBS$10,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2009MO-SEC$79,445
Securian Financial Services, Inc.Securian Financialconsumer protection violation2013NE-DBF$5,500
Security National Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$31,500
Security National Insurance Co.Zurich Insuranceinsurance violation2015MO-INS$16,090
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.