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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,398,347,522
Number of Records: 7,169
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 TypeYear sort icon . AgencyPenalty Amount
Morgan Stanley & Co.Morgan Stanleydata submission deficiencies2006SEC$10,000,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$250,000,000
American International Group, Inc.American International Groupinvestor protection violation2006SEC$800,000,000
Israel Discount BankIsrael Discount Bankanti-money-laundering deficiencies2006FINCEN$12,000,000
CitiMortgage, Inc.Citigroupconsumer protection violation2006HUD$650,000
Fifth Third BankFifth Third Bancorpdiscriminatory practices (non-employment)2006HUD$125,000
ABN AMRO Mortgage GroupABN AMROmortgage abuses2006HUD$41,000,000
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2006EBSA$10,001
HORACE MANN SERVICE CORPORATIONHorace Mann Educators Corp.benefit plan administrator violation2006EBSA$10,001
LAVA TRADING INC.Citigroupbenefit plan administrator violation2006EBSA$50,001
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2006EEOC$2,200,000
Wells Fargo BankWells FargoFamily and Medical Leave Act2006WHD$5,152
Banco Bilbao Vizcaya Puerto RicoBanco Bilbao Vizcaya Argentariawage and hour violation2006WHD$31,571
U.S. BancorpU.S. Bancorpwage and hour violation2006WHD$140,788
The First American Title CompanyFirst American Financialwage and hour violation2006WHD$72,363
TIAA - CREFTIAAwage and hour violation2006WHD$468,336
HSBC North America IncHSBCwage and hour violation2006WHD$5,357
HSBC North America Inc.HSBCwage and hour violation2006WHD$11,489
HSBC North America Inc.HSBCwage and hour violation2006WHD$12,685
HSBC North America Inc.HSBCwage and hour violation2006WHD$8,273
AXA Equitable Life Insurance CompanyEquitable Holdingswage and hour violation2006WHD$29,534
HSBC BankHSBCwage and hour violation2006WHD$7,599
Bank of America CorporationBank of Americawage and hour violation2006WHD$265,774
IFCO Systems of North America Inc.Triton Investments Adviserswage and hour violation2006WHD$82,085
Mercer HR Services, LLCMarsh & McLennanwage and hour violation2006WHD$49,474
SunTrust Bank, Inc.Truist Financialwage and hour violation2006WHD$350,875
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$14,479
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$1,800,282
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$30,928
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$1,712,712
Austin Mutual Insurance CompanyAmerican Family Insurancewage and hour violation2006WHD$16,245
IFCO Systems of North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$84,459
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$294,023
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$270,379
IFCO Systems of North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$13,399
IFCO Systems of North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$108,261
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americawage and hour violation2006WHD$7,060
Atlantic Credit and Finance, Inc.Encore Capital Groupwage and hour violation2006WHD$9,422
Brothers Property CorporationAmerican Financial Groupwage and hour violation2006WHD$29,273
PNC BankPNC Financial Serviceslabor relations violation2006NLRB$40,000
TD BanknorthToronto-Dominion Banklabor relations violation2006NLRB$5,000
J.P. Morgan Chase & Co. and Forum Temporary ServicesJPMorgan Chaselabor relations violation2006NLRB$60,760
Mercury Air Centers, Inc.Macquarielabor relations violation2006NLRB$40,000
CitigroupCitigroupwage and hour violation2006private lawsuit-federal$3,550,000
Morgan StanleyMorgan Stanleywage and hour violation2006private lawsuit-federal$42,500,000
Bank of AmericaBank of Americawage and hour violation2006private lawsuit-federal$9,000,000
Merrill LynchBank of Americawage and hour violation2006private lawsuit-federal$37,000,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2006SEC$442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.Deutsche Bankinvestor protection violation2006SEC$17,200,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2006SEC$2,185,927
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankinvestor protection violation2006SEC$19,329,729
Waddell & Reed, Inc.Macquarieinvestor protection violation2006SEC$50,000,000
Metropolitan Life Insurance CompanyMetLifeinvestor protection violation2006SEC$250,000
New England Securities Corp.MetLifeinvestor protection violation2006SEC$2,614,865
Morgan Keegan & Co., Inc.Raymond James Financialinvestor protection violation2006SEC$558,806
Cincinnati Insurance CompanyCincinnati Financialemployment discrimination2006private lawsuit-federal$537,500
New York Life InsuranceNew York Life Insuranceemployment discrimination2006private lawsuit-federal$6,000,000
Northern TrustNorthern Trustbenefit plan administrator violation2006private lawsuit-federal$37,500,000
UBS Global Asset ManagementUBSbenefit plan administrator violation2006private lawsuit-federal$5,493,000
Nationwide Mutual Insurance CompanyNationwideFair Credit Reporting Act violation2006private lawsuit-federal$19,250,000
ACE, LtdChubb Limitedprice-fixing or anti-competitive practices2006MULTI-AG$80,000,000
American Bankers Insurance Co.Assurantconsumer protection violation2006MA-AG$20,000
American International GroupAmerican International Groupprice-fixing or anti-competitive practices2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,619,000,000
American International Group, Inc.American International Grouptax violations2006MI-AG$5,279,484
Ameriquest MortgageCitigroupconsumer protection violation2006MULTI-AG$325,000,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2006MA-AG$50,000
BB&T Leasing CorporationTruist Financialconsumer protection violation2006MULTI-AG$6,000,000
Brown & Brown, Inc.Brown & Brownconsumer protection violation2006FL-AG$5,800,000
Chase BankJPMorgan Chaseconsumer protection violation2006MULTI-AG$3,850,000
ChubbChubb Limitedprice-fixing or anti-competitive practices2006MULTI-AG$17,000,000
Countrywide Home Loans, Inc.,Bank of Americaconsumer protection violation2006NY-AG$3,200,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $208,000,000
GE Capital Corp.Synchrony Financialconsumer protection violation2006CT-AG$336,000
INGVoya Financialinvestor protection violation2006MULTI-AG$33,000,000
Metropolitan Life Insurance CompanyMetLifeconsumer protection violation2006NY-AG$19,000,000
National City Commercial Capital CorporationPNC Financial Servicesconsumer protection violation2006NY-AG$817,700
PayPal, Inc.PayPal Holdingsconsumer protection violation2006MULTI-AG$1,700,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
St. Paul TravelersTravelersprice-fixing or anti-competitive practices2006MULTI-AG$77,000,000
The Hartford Financial Services GroupHartford Financial Servicesinvestor protection violation2006MULTI-AG$20,000,000
UBS Financial Services Inc.UBSinvestor protection violation2006NJ-AG$24,750,000
UnumProvident CorporationUnumconsumer protection violation2006NY-AG$17,400,000
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2006MULTI-AG$25,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Zurich American Insurance CompanyZurich Insuranceprice-fixing or anti-competitive practices2006MULTI-AG$171,700,000
Zurich American Insurance CompanyZurich Insuranceprice-fixing or anti-competitive practices2006OH-AG$7,000,000
Mellon Bank N.A.Bank of New York MellonFalse Claims Act and related2006USAO$18,130,405
Bank of America Corp.Bank of Americaanti-money-laundering deficiencies2006NY-MANDA$7,500,000
Zenith Insurance Co.Fairfax Financial Holdingsemployment discrimination2006EEOC$180,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006NY-AG$1,040,964
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2006AK-INS$6,530
Titan Insurance Co.Nationwideinsurance violation2006AZ-DIFI$40,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2006AZ-CC$1,250,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$5,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2006CA-INS$1,000,000
Mercury Insurance Co.Mercury General Corporationinsurance violation2006CA-INS$9,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2006CA-INS$15,000
Commonwealth Land Title Insurance Co. et al.Fidelity National Financialinsurance violation2006CA-INS$4,499,997
Amex Assurance Co.American Expressinsurance violation2006CA-INS$170,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.