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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,660,984,318
Number of Records: 7,055
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$83,124,221,356268
JPMorgan Chase$36,129,269,434222
Citigroup$25,540,655,365157
Wells Fargo$22,081,446,244228
Deutsche Bank$18,341,457,30276
UBS$16,880,243,334103
Goldman Sachs$16,399,475,84887
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,154,369,73321
Credit Suisse$10,732,400,12649

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
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 SantanderServicemembers Civil Relief Act2015DOJ_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 SantanderServicemembers Civil Relief Act2021DOJ_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
Auto-Owners Insurance Company and Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2011VA-INS$10,000
AUTO OWNERS INSURANCE COMPANYAuto-Owners Insuranceinsurance violation2015VA-INS$114,217
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2004WI-INS$5,000
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2018SEC$513,194
Sorrento Pacific Financial, LLCAtria Wealth Solutionsinvestor protection violation2019SEC$49,162
CUSO Financial Services, L.P.Atria Wealth Solutionsinvestor protection violation2019SEC$296,750
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019SEC$1,405,349
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2012AL-SEC$60,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019MA-SEC$150,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2010MT-SEC$5,000
Cadaret, Grant & Co., Inc.Atria Wealth Solutionsinvestor protection violation2008NE-DBF$10,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2014NH-BSR$140,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2019NH-BSR$325,000
Cadaret Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2019PA-BKG$90,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2020TX-SEC$600,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2015VA-SEC$18,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2017VA-SEC$60,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2020VA-SEC$5,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2011FINRA$2,050,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2009FINRA$1,000,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$116,400,000
CompuCredit CorporationAtlanticus Holdingsconsumer protection violation2008FTC$114,000,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$806,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$558,000
Bank of Hampton RoadsAtlantic Union Banksharesbanking violation2011FED$33,600
Hampton Roads BanksharesAtlantic Union Banksharesaccounting fraud or deficiencies2014SEC$200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.