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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 ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2006FINRA$850,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2006FINRA$800,000
MetLife, Inc.MetLifeinvestor protection violation2006FINRA$5,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2006FINRA$2,900,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2006FINRA$1,115,000
ING America Insurance Holdings Inc.Voya Financialinvestor protection violation2006FINRA$7,000,000
BRUT LLCNasdaq Inc.investor protection violation2006FINRA$2,200,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2006FINRA$350,000
Credit Suisse Securities (USA), LLCCredit Suisseinvestor protection violation2006FINRA$225,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2006FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2006FINRA$5,000,000
Sanford C. Bernstein & Co.Equitable Holdingsinvestor protection violation2006FINRA$350,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2006FINRA$250,000
First American TitleFirst American Financialenvironmental violation2006CA-SCAQMD$38,211
Mercury Air CentersMacquarieenvironmental violation2006CA-SCAQMD$11,750
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2006CA-SCAQMD$9,000
Wedbush Morgan SecuritiesWedbush Securitiesenvironmental violation2006CA-SCAQMD$5,000
Mercury Air CentersMacquarieenvironmental violation2006CA-SCAQMD$10,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2006TX-PUC$27,000
GMAC Mortgage Group, Inc.Ally FinancialWARN Act violation2006private lawsuit-federal$135,000
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2006OSHA$20,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2006OSHA$11,000
IFCO SYSTEMS DBA VALLEY WOOD PRODUCTS, INC.Triton Investments Advisersworkplace safety or health violation2006OSHA$5,226
BOWNE & COMPANY, INC.Chatham Asset Managementworkplace safety or health violation2006OSHA$5,250
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2006OSHA$9,450
LOUIS DREYFUS CITRUS INC.Louis Dreyfusworkplace safety or health violation2006OSHA$9,800
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2005CFTC$85,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2005FAA$5,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2005FAA$90,000
First Interstate BankFirst Interstate Bancsystembanking violation2005FED$15,750
Capital City Mortgage CorporationCapital City Bank Groupconsumer protection violation2005FTC$750,000
Bank of ChinaBank of Chinaeconomic sanction violation2005OFAC$11,000
Fidelity Brokerage Services, Inc. dba Fidelity InvestmentsFidelity Investmentseconomic sanction violation2005OFAC$63,853
PNC BankPNC Financial Serviceseconomic sanction violation2005OFAC$8,200
Seabury & Smith Inc.Marsh & McLennaneconomic sanction violation2005OFAC$46,341
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$40,423
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$30,800
The Bank of New YorkBank of New York Melloneconomic sanction violation2005OFAC$5,844
Union Bank of CaliforniaMitsubishi UFJ Financial Groupeconomic sanction violation2005OFAC$5,500
Wachovia BankWells Fargoeconomic sanction violation2005OFAC$5,500
Wells Fargo BankWells Fargoeconomic sanction violation2005OFAC$42,833
Lasalle Bank MidWest National AssociationBank of Americabanking violation2005OCC$6,250,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2005OCC$180,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2005OCC$115,000
City National BankRoyal Bank of Canadabanking violation2005OCC$750,000
First National Bank of OmahaFirst National of Nebraskabanking violation2005OCC$20,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$30,000,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005SEC$72,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$125,000,000
Huntington Bancshares, Inc.Huntington Bancsharesaccounting fraud or deficiencies2005SEC$7,500,000
Citigroup, Inc.Citigroupinvestor protection violation2005SEC$208,000,000
New York Stock Exchange, Inc.IntercontinentalExchange Groupinvestor protection violation2005SEC$20,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2005SEC$20,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLCBank of Americainvestor protection violation2005SEC$375,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialinvestor protection violation2005SEC$140,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2005SEC$40,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2005SEC$40,000,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2005SEC$10,000,000
Oppenheimer & Company, Inc.Oppenheimer Holdingsanti-money-laundering deficiencies2005FINCEN$2,800,000
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2005HUD$680,000
Chicago Title Insurance CompanyFidelity National Financialmortgage abuses2005HUD$5,000,000
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLANAmerican International Groupbenefit plan administrator violation2005EBSA$50,001
Huntington National BankHuntington Bancshareswage and hour violation2005WHD$51,259
J P Morgan Chase BankJPMorgan Chasewage and hour violation2005WHD$6,688
Nationwide Mutual Insurance CompanyNationwidewage and hour violation2005WHD$16,185
The Cincinnati Insurance CompaniesCincinnati FinancialFamily and Medical Leave Act2005WHD$15,000
Ace Cash Express, Inc.ACE Cash Expresswage and hour violation2005WHD$12,796
Nationwide Credit, Inc.Altisource Portfolio Solutionswage and hour violation2005WHD$68,433
Scott Danahy Naylon Co. Inc.Financial Institutions Inc.wage and hour violation2005WHD$5,495
Compass BankPNC Financial Serviceswage and hour violation2005WHD$810,122
Compass BankPNC Financial Serviceswage and hour violation2005WHD$5,105
Synagro Technologies, IncGoldman Sachswage and hour violation2005WHD$149,141
Synagro West, LLCGoldman Sachswage and hour violation2005WHD$97,862
Fidelity National Financial, Inc.Fidelity National Financialwage and hour violation2005WHD$778,391
Bank of AmericaBank of Americawage and hour violation2005WHD$12,824
Washington Mutual, Inc.JPMorgan Chasewage and hour violation2005WHD$404,982
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2005WHD$9,830
Towers PerrinWillis Towers Watsonwage and hour violation2005WHD$105,865
Towers, Perrin, Forrester & CrosbyWillis Towers Watsonwage and hour violation2005WHD$294,279
TIAATIAAwage and hour violation2005WHD$327,168
The First American Title Insurance, Co.First American Financialwage and hour violation2005WHD$24,067
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankwage and hour violation2005WHD$55,208
Goodrich Aviation Technical Services, Inc.Macquariewage and hour violation2005WHD$47,369
USAA InsuranceUSAAlabor relations violation2005NLRB$125,361
Watson Wyatt & Co.Willis Towers Watsonlabor relations violation2005NLRB$91,000
CINCINNATI BELL TELEPHONE A DIVISION OF BROADWINGMacquarielabor relations violation2005NLRB$5,000
Wheelabrator Westchester, L.P.Macquarielabor relations violation2005NLRB$13,000
CIT Group Inc.First Citizens BancSharesexport control violation2005BIS$74,800
The Bank of New YorkBank of New York Mellonanti-money-laundering deficiencies2005USAO$38,000,000
Riggs BankPNC Financial Servicesanti-money-laundering deficiencies2005USAO$16,000,000
Liberty MutualLiberty Mutual Insurancewage and hour violation2005private lawsuit-federal$6,400,000
Allstate InsuranceAllstatewage and hour violation2005private lawsuit-state$120,000,000
Countrywide FinancialBank of Americawage and hour violation2005private lawsuit-state$30,000,000
State FarmState Farm Insurancewage and hour violation2005private lawsuit-state$135,000,000
Combined Insurance Company of AmericaChubb Limitedemployment discrimination2005private lawsuit-federal$8,500,000
Ocwen FinancialOcwen Financialemployment discrimination2005private lawsuit-state$2,000,000
CIBC World Markets CorporationCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$496,598
State Street Research & Management CompanyBlackRockinvestor protection violation2005SEC$585,743
Legg Mason Wood Walker, IncorporatedFranklin Resourcesinvestor protection violation2005SEC$1,000,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2005SEC$500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.