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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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CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009FINRA$275,000
PNC InvestmentsPNC Financial Servicesinvestor protection violation2009FINRA$250,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$250,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2009FINRA$1,000,000
ICAP Corporates LLCCME Groupinvestor protection violation2009FINRA$2,800,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2009FINRA$1,400,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2009FINRA$1,000,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2009FINRA$400,000
M&T Securities, Inc.M&T Bankinvestor protection violation2009FINRA$200,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2009FINRA$200,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2009FINRA$1,750,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2009FINRA$900,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2009FINRA$7,200,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargoinvestor protection violation2009FINRA$1,100,000
New England SecuritiesMetLifeinvestor protection violation2009FINRA$500,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2009FINRA$300,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$32,500
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2009FINRA$25,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$2,000,000
Wachovia SecuritiesWells Fargoinvestor protection violation2009FINRA$4,500,000
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyanti-money-laundering deficiencies2009FINRA$1,000,000
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2009CA-SCAQMD$7,500
El Paso Electric CompanyJPMorgan Chaseutility service violation2009TX-PUC$100,000
Liberty Mutual Insurance CompanyLiberty Mutual Insurancewage and hour violation2009CA-LCO$11,916
Marsh & McLennan Companies Inc.Marsh & McLennanprice-fixing or anti-competitive practices2009private lawsuit-federal$69,000,000
MasterCard Inc.MasterCardprice-fixing or anti-competitive practices2009private lawsuit-federal$72,480,000
Visa USAVisaprice-fixing or anti-competitive practices2009private lawsuit-federal$100,000,000
Old Republic National Title Insurance CompanyOld Republic Internationalconsumer protection violation2009private lawsuit-federal$3,300,000
R R DONNELLEYChatham Asset Managementworkplace safety or health violation2009OSHA$7,500
FARMERS INSURANCE EXCHANGEFarmers Insurance Exchangeworkplace safety or health violation2009OSHA$10,000
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2009OSHA$11,100
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2009OSHA$6,000
IMPERIAL SUGAR COMPANYLouis Dreyfusenvironmental violation2009EPA$5,240
Morgan Stanley Capital Group Inc.Morgan Stanleyenvironmental violation2009EPA$405,000
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$25,000
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$16,830
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$9,951
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2009MSHA$6,600
BNP Paribas Commodity Futures, Ltd.BNP Paribasdata submission deficiencies2008CFTC$25,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$116,400,000
BANK OF THE CASCADESFirst Interstate Bancsystembanking violation2008FDIC$43,550
UMPQUA BANKUmpqua Holdingsbanking violation2008FDIC$90,240
CATHAY BANKCathay General Bancorpbanking violation2008FDIC$55,500
Heritage Bank of CommerceHeritage Commerce Corp.banking violation2008FED$6,840
CompuCredit CorporationAtlanticus Holdingsconsumer protection violation2008FTC$114,000,000
Bear Stearns Companies, LLCJPMorgan Chasemortgage abuses2008FTC$28,000,000
RBC Mortgage CompanyRoyal Bank of CanadaFalse Claims Act and related2008DOJ_CIVIL$10,710,000
National City Mortgage Inc.PNC Financial ServicesFalse Claims Act and related2008DOJ_CIVIL$4,600,000
A.G. Edwards and Sons Inc.Wells Fargoeconomic sanction violation2008OFAC$122,358
BankAtlanticTruist Financialeconomic sanction violation2008OFAC$7,500
Citigroup, N. A.Citigroupeconomic sanction violation2008OFAC$16,250
Key Bank National AssociationKeyCorpeconomic sanction violation2008OFAC$200,000
Old National BankOld National Bancorpbanking violation2008OCC$56,000
Northern Trust, National AssociationNorthern Trustbanking violation2008OCC$125,000
Wachovia Bank, National AssociationWells Fargobanking violation2008OCC$168,900,000
Zurich Financial ServicesZurich Insuranceaccounting fraud or deficiencies2008SEC$25,000,000
AmSouth BankRegions Financialinvestor protection violation2008SEC$11,400,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2008SEC$950,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008SEC$9,763,634
Fidelity InvestmentsFidelity Investmentskickbacks and bribery2008SEC$8,000,000
E*Trade Group, Inc.Morgan Stanleybenefit plan administrator violation2008EBSA$50,001
U.S. BankU.S. Bancorpwage and hour violation2008WHD$140,787
Merrill LynchBank of Americaemployment discrimination2008EEOC$1,550,000
Vanguard Group, Inc.Vanguard Groupemployment discrimination2008EEOC$500,000
Provident Funding Associates, LPProvident Funding Associateswage and hour violation2008WHD$8,453
JPMorgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2008WHD$9,622
Fidelity National Financial, IncFidelity National Financialwage and hour violation2008WHD$27,858
Fidelity National Financial, IncFidelity National Financialwage and hour violation2008WHD$17,845
Key Bank National AssociationKeyCorpwage and hour violation2008WHD$12,691
Merrill Lynch & Co., Inc.Bank of Americawage and hour violation2008WHD$516,924
Bank of AmericaBank of AmericaFamily and Medical Leave Act2008WHD$6,500
Bank of AmericaBank of Americawage and hour violation2008WHD$6,209
Equitable Life & Casualty Insurance CompanyEquitable Holdingswage and hour violation2008WHD$19,445
Mastercard International, IncMasterCardwage and hour violation2008WHD$5,777
National City Corporation d/b/a National City BankPNC Financial Serviceslabor relations violation2008NLRB$49,597
IFCO SystemsTriton Investments Adviserswork visa violations2008USAO$20,700,000
National City MortgagePNC Financial Serviceswage and hour violation2008private lawsuit-federal$27,500,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$21,000,000
UBS as successor to Piper JaffrayUBSwage and hour violation2008private lawsuit-federal$5,500,000
E-TradeMorgan Stanleywage and hour violation2008private lawsuit-federal$900,000
CitigroupCitigroupwage and hour violation2008private lawsuit-federal$98,000,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$19,000,000
USAAUSAAwage and hour violation2008private lawsuit-federal$738,423
Wilmington Finance Inc.OneMain Holdingswage and hour violation2008private lawsuit-federal$2,925,000
LPL Financial CorporationLPL Financialinvestor protection violation2008SEC$275,000
E*Trade Clearing LLCMorgan Stanleyinvestor protection violation2008SEC$500,000
Gabelli Funds LLCGamco Investors Inc.investor protection violation2008SEC$16,000,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2008SEC$1,998,143
Smith BarneyMorgan Stanleyemployment discrimination2008private lawsuit-federal$33,000,000
Morgan StanleyMorgan Stanleyemployment discrimination2008private lawsuit-federal$750,000
Morgan StanleyMorgan Stanleyemployment discrimination2008private lawsuit-federal$16,000,000
Norddeutsche Landesbank GirozentraleNorddeutsche Landesbankemployment discrimination2008private lawsuit-federal$2,618,600
Willis GroupWillis Towers Watsonemployment discrimination2008private lawsuit-federal$12,757,949
FleetBoston Financial CorpBank of Americabenefit plan administrator violation2008private lawsuit-federal$83,401,000
American International Group, Inc.American International Groupbenefit plan administrator violation2008private lawsuit-federal$24,200,000
New York Life InsuranceNew York Life Insurancebenefit plan administrator violation2008private lawsuit-federal$14,000,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2008NJ-AG$387,000
American International GroupAmerican International GroupFalse Claims Act and related2008MA-AG$218,920
American International Group, Inc.American International Groupprice-fixing or anti-competitive practices2008MULTI-AG$12,500,000
Aon Corp.Aonconsumer protection violation2008FL-AG$4,000,000
Banc of America Securities LLCBank of Americainvestor protection violation2008MULTI-AG$4,550,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.