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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2004FINRA$250,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2004FINRA$109,527
Banc of America Securities LLCBank of Americainvestor protection violation2001FINRA$40,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2001FINRA$15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2000FINRA$97,000
Bank of America Corp.Bank of Americaworkplace whistleblower retaliation2011OSHA$930,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2021FINRA$11,650,000
Bank of AmericaBank of Americaenvironmental violation2007CA-SCAQMD$46,000
Countrywide Home LoansBank of Americaenvironmental violation2000CA-SCAQMD$5,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americatoxic securities abuses2021NM-AG$4,642,857
Bank of AmericaBank of Americaconsumer protection violation2022CFPB$10,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2022FINRA$15,200,000
Bank of America, N.A.Bank of Americadiscriminatory practices (non-employment)2022HUD$15,000
COUNTRYWIDE FINANCIAL CORPORATION,Bank of Americawage and hour violation2008CA-LCO$5,164
Bank of AmericaBank of Americabanking violation2022CFPB$100,000,000
Bank of America NABank of Americabanking violation2022OCC$125,000,000
Countrywide Financial CorporationBank of AmericaWARN Act violation2013private lawsuit-federal$1,200,000
BANK OF AMERICABank of Americaworkplace safety or health violation2003OSHA$5,000
BANK OF AMERICABank of Americaworkplace safety or health violation2011OSHA$6,600
Bank of AmericaBank of Americainvestor protection violation2022CFTC$100,000,000
BofA Securities, Inc.Bank of Americainvestor protection violation2022FINRA$5,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2022SEC$125,000,000
Bank Leumi GroupBank Leumitax violations2014DOJ_TAX$270,000,000
Bank LeumiBank Leumiinvestor protection violation2016SEC$1,600,000
Bank LeumiBank Leumitax violations2014NY-DFS$130,000,000
Bank Hapoalim B.M,Bank Hapoalimtax violations2020FED$37,350,000
Bank Hapoalim B.M.Bank Hapoalimanti-money-laundering deficiencies2020DOJ_CRIMINAL$30,063,317
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd.Bank Hapoalimtax violations2020DOJ_TAX$616,910,000
Bank Hapoalim B.M.Bank Hapoalimtax violations2020NY-DFS$220,000,000
Santander Bank, National AssociationBanco Santanderbanking violation2016OCC$3,400,000
Santander Bank, National AssociationBanco Santanderbanking violation2015OCC$6,000,000
Sovereign Bank N.A.Banco Santanderbanking violation2013OCC$16,086,180
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015DOJ_RIGHTS$9,350,000
Santander Bank, N.A.Banco Santanderconsumer protection violation2016CFPB$10,000,000
Santander Bank & Trust (Bahamas) LtdBanco Santandereconomic sanction violation2004OFAC$20,000
Santander Mortgage CorporationBanco Santanderwage and hour violation2004WHD$62,895
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CFPB$11,790,000
Santander Securities LLCBanco Santanderinvestor protection violation2019SEC$270,539
Santander Consumer USA Holdings Inc.Banco Santanderinvestor protection violation2018SEC$1,500,000
Santander Bank, N.A.Banco Santanderconsumer protection violation2015NY-AG$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 Securities LLCBanco Santanderconsumer protection violation2019MA-AG$100,000
Santander USA Holdings Inc.Banco Santanderconsumer protection violation2015MA-AG$5,400,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020MULTI-AG$550,000,000
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2018CA-DFPI$300,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CT-BKG$100,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015NH-BKG$75,000
Santander Securities, LLCBanco Santanderinvestor protection violation2018NH-BSR$31,562
Santander Securities, LLCBanco Santanderinvestor protection violation2019NH-BSR$50,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020VT-AG$105,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020CFPB$4,750,000
Santander Securities LLCBanco Santanderinvestor protection violation2015FINRA$6,421,000
Santander Securities of Puerto RicoBanco Santanderinvestor protection violation2011FINRA$2,000,000
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2021CO-AG$3,065,000
SantanderBanco Santanderconsumer protection violation2021MS-AG$3,700,000
Santander Consumer USA Inc, dba Chrysler CapitalBanco Santanderconsumer protection violation2021DOJ_RIGHTS$134,282
Santander Consumer USABanco Santanderconsumer protection violation2022MA-AG$5,560,000
Santander Bank, N.A.Banco Santanderwage and hour violation2022private lawsuit-federal$4,250,000
BBVA Suiza S.A.Banco Bilbao Vizcaya Argentariatax violations2015DOJ_TAX$10,390,000
Banco Bilbao Vizcaya Argentaria, S.A.Banco Bilbao Vizcaya Argentariabanking violation2016FED$27,000,000
Banco Bilbao Vizcaya Puerto RicoBanco Bilbao Vizcaya Argentariawage and hour violation2006WHD$31,571
BancFirst Insurance Services, Inc.BancFirstwage and hour violation2014WHD$20,229
Balli Aviation Ltd. and Balli Group PLCBalli Groupexport control violation2010BIS$15,000,000
Balli Aviation Ltd.Balli Groupexport control violation2010DOJ_NATSEC$2,000,000
AXA RosenbergAXAinvestor protection violation2011SEC$242,000,000
Axa S.A.AXAinsurance violation2015MULTI-AG$3,280,000
T.H.E. INSURANCE COMPANYAXAinsurance violation2001FL-OFR$15,000
Axa Re Property and Casualty Insurance Co.AXAinsurance violation2005FL-OFR$15,000
Axa Insurance Co.AXAinsurance violation2019LA-INS$6,000
XL Specialty Insurance Co.AXAinsurance violation2012MO-INS$21,000
AXA Art Insurance CorporationAXAinsurance violation2015NY-DFS$70,000
T.H.E. Insurance CompanyAXAinsurance violation2009PA-INS$5,000
AXA Insurance CompanyAXAinsurance violation2007SC-INS$8,000
AXA Art Insurance CorporationAXAinsurance violation2012SC-INS$8,000
Catlin Insurance Company Inc.AXAinsurance violation2013SD-INS$5,000
XL Specialty Insurance CompanyAXAinsurance violation2011TX-INS$25,000
XL Insurance America Inc.AXAinsurance violation2011TX-INS$7,000
XL Specialty Insurance CompanyAXAinsurance violation2014TX-INS$8,500
T.H.E. Insurance CompanyAXAinsurance violation2015TX-INS$11,500
XL Insurance America, Inc.AXAinsurance violation2018TX-INS$32,000
XL Specialty Insurance CompanyAXAinsurance violation2018TX-INS$30,000
XL Insurance America, Inc.AXAinsurance violation2019TX-INS$5,000
Catlin Insurance Company Inc.AXAinsurance violation2018UT-INS$100,000
XL LIFE INSURANCE AND ANNUITYAXAinsurance violation2006VA-INS$10,000
XL Specialty Insurance Co.AXAinsurance violation2020TX-INS$7,000
XL Specialty Insurance Co.AXAinsurance violation2021TX-INS$15,825
XL Insurance America, Inc.AXAinsurance violation2021TX-INS$17,000
XL Insurance America, Inc.AXAinsurance violation2021TX-INS$10,000
XL Specialty Insurance CompanyAXAconsumer protection violation2021RI-FIN$15,000
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2007CO-INS$5,000
Auto Owners Insurance Co.Auto-Owners Insuranceinsurance violation2017CO-INS$25,875
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019KS-INS$10,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2000MN-FIN$15,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2003MN-FIN$5,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2016MN-FIN$10,000
Auto-Owners Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019MN-FIN$35,000
Auto-Owners Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2007MO-INS$28,704
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2015MO-INS$39,600
Auto-Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2016SC-INS$7,356
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.