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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
JPMorgan Chase$39,688,888,209277
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$14,264,317,61841
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
Royal Bank of Scotland GroupNatWest Group PLCprice-fixing or anti-competitive practices2018private lawsuit-federal$255,000,000
Royal Bank of Scotland PLCNatWest Group PLCprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2018private lawsuit-federal$18,000,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2018private lawsuit-federal$17,200,000
UBS AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$141,075,000
UBS AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$14,000,000
Wells Fargo Bank, N.A.Wells Fargoprice-fixing or anti-competitive practices2018private lawsuit-federal$8,750,000
Ally Financial Inc.Ally Financialconsumer protection violation2018private lawsuit-federal$19,717,222
Bank of America N.A.Bank of Americaconsumer protection violation2018private lawsuit-federal$1,266,600,000
Bank of America N.A.Bank of Americaconsumer protection violation2018private lawsuit-federal$41,920,374
Bank of America, N.A.Bank of Americaconsumer protection violation2018private lawsuit-federal$550,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2018private lawsuit-federal$3,250,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2018private lawsuit-federal$11,220,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2018private lawsuit-federal$2,150,000
Navient Corp.Navientconsumer protection violation2018private lawsuit-federal$275,000
PHH CorporationOcwen Financialconsumer protection violation2018private lawsuit-federal$8,500,000
State Farm Life Insurance CompanyState Farm Insuranceconsumer protection violation2018private lawsuit-federal$34,222,414
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceconsumer protection violation2018private lawsuit-federal$250,000,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2018private lawsuit-federal$142,000,000
American International GroupAmerican International Groupwage and hour violation2018MI-LEO$15,939
Guaranteed RateGuaranteed Rate Inc.wage and hour violation2018MI-LEO$7,191
Jackson FinancialJackson Financialwage and hour violation2018MI-LEO$51,118
HIGHMARK INC.Highmark Inc.workplace safety or health violation2018OSHA$25,868
BROADRIDGE FINANCIAL SOLUTIONSBroadridge Financial Solutionsworkplace safety or health violation2018OSHA$15,522
NEOVIA LOGISTICS DISTRIBUTION, LLCGoldman Sachsworkplace safety or health violation2018OSHA$10,000
WHEELABRATOR MILLBURY INC.Macquarieworkplace safety or health violation2018OSHA$9,472
BUCKEYE PIPE LINE COMPANY LP AND WEST SHORE PIPE LINE COMPANYIFM Investorsoil spill2018EPA$400,000
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2018MSHA$5,903
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$5,997
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$8,947
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$9,942
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$10,473
Deutsche Bank Americas Holding Corp.Deutsche Bankbenefit plan administrator violation2019private lawsuit-federal$21,900,000
Citigroup, Inc.Citigroupbenefit plan administrator violation2019private lawsuit-federal$6,900,000
Enova International, Inc.Enova Internationalconsumer protection violation2019CFPB$3,200,000
USAA Federal Savings BankUSAAconsumer protection violation2019CFPB$15,500,000
Asurion, LLCAsurionemployment discrimination2019EEOC$50,000
Wintrust Financial CorporationWintrust Financial Corp.banking violation2019FED$1,012,500
PHH Mortgage CorporationOcwen Financialconsumer protection violation2019DOJ_RIGHTS$750,000
Citibank, N.A.Citigroupbanking violation2019OCC$25,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019SEC$8,014,000
Wells Fargo SecuritiesWells Fargoinvestor protection violation2019SEC$812,500
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$250,000
BB&T SecuritiesTruist Financialinvestor protection violation2019SEC$5,709,753
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2019SEC$17,363,847
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2019SEC$11,715,395
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2019SEC$2,971,462
First Republic Investment Management, Inc.JPMorgan Chaseinvestor protection violation2019SEC$1,005,194
Stifel and Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2019SEC$6,037,175
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2019SEC$241,227
Sorrento Pacific Financial, LLCAtria Wealth Solutionsinvestor protection violation2019SEC$49,162
CUSO Financial Services, L.P.Atria Wealth Solutionsinvestor protection violation2019SEC$296,750
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019SEC$1,134,152
BB&T Securities, LLCTruist Financialinvestor protection violation2019SEC$376,059
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019SEC$1,405,349
Bok Financial Securities, Inc.BOK Financialinvestor protection violation2019SEC$197,801
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2019SEC$3,389,174
Principal Securities, Inc.Principal Financialinvestor protection violation2019SEC$1,764,624
Transamerica Financial Advisors, Inc.Aegoninvestor protection violation2019SEC$6,023,072
Comerica Securities, Inc.Comericainvestor protection violation2019SEC$186,377
Santander Securities LLCBanco Santanderinvestor protection violation2019SEC$270,539
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.Oppenheimer Holdingsinvestor protection violation2019SEC$3,528,377
LPL Financial LLCLPL Financialinvestor protection violation2019SEC$9,333,516
TIAA-CREF Individual & Institutional Services, LLCTIAAinvestor protection violation2019SEC$2,395,722
Raymond James Financial Services Advisors, Inc.Raymond James Financialinvestor protection violation2019SEC$6,877,048
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2019SEC$1,852,383
Umpqua BankUmpqua Holdingsemployment screening violation2019private lawsuit-federal$325,000
Freedom Mortgage CorporationFreedom Mortgagemortgage abuses2019CFPB$1,750,000
Banca IMI Securities Corp.Intesa Sanpaoloprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$2,000,000
UniCredit GroupUniCrediteconomic sanction violation2019DOJ_CRIMINAL$413,536,632
Standard Chartered BankStandard Charteredeconomic sanction violation2019DOJ_CRIMINAL$292,210,160
Zurich Life Insurance Company LtdZurich Insurancetax violations2019DOJ_TAX$5,115,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2019EBSA$10,001
UniCredit, S.p.A.UniCreditbanking violation2019FED$158,000,000
Standard Chartered plcStandard Charteredbanking violation2019FED$164,000,000
Western Union Financial Services, Inc.Western Unioneconomic sanction violation2019OFAC$401,697
UniCredit Bank AGUniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $553,380,759
UniCredit Bank Austria AGUniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $20,326,340
UniCredit S.p.A.UniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,316,322
Standard Chartered BankStandard Charteredeconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $657,040,033
Deutsche Bank Trust Company AmericasDeutsche Bankinvestor protection violation2019SEC$500,000
Ally Financial ServicesAlly Financialwage and hour violation2019WHD$198,311
American Security Insurance Co.Assurantconsumer protection violation2019MS-AG$767,394
AON RISK SERVICES OF PR, INC.Aonbenefit plan administrator violation2019EBSA$10,001
BB&T CorporationTruist Financialbenefit plan administrator violation2019private lawsuit-federal$24,000,000
BMO Capital Markets CorporationBank of Montrealinvestor protection violation2019SEC$3,946,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019SEC$647,000
CIT Group, Inc., and CIT Bank, N.A., dba OneWest BankFirst Citizens BancSharesdiscriminatory practices (non-employment)2019HUD$7,300,000
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2019SEC$16,178,850
FirstBank Puerto RicoFirst Bancorp (Puerto Rico)banking violation2019FDIC$17,700
Freedom Mortgage CorporationFreedom Mortgagewage and hour violation2019private lawsuit-federal$4,480,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinaprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$3,000,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2019SEC$42,700,000
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2019NJ-AG$100,000
Jackson Hewitt Tax Service Inc.Jackson Hewittconsumer protection violation2019MA-AG$187,000
JP Morgan Chase Bank N.A.JPMorgan Chasewage and hour violation2019WHD$38,336
LPL Financial LLCLPL Financialinvestor protection violation2019MULTI-AG$25,848,000
Merrill Lynch Commodities Inc.Bank of Americaprice-fixing or anti-competitive practices2019DOJ_CRIMINAL$25,000,000
Merrill Lynch Commodities, Inc.Bank of Americainvestor protection violation2019CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000
Metropolitan Property & Casualty Co.Zurich Insuranceconsumer protection violation2019MS-AG$3,167,173
Midfirst BankMidFirst Bankbanking violation2019OCC$35,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.