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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $395,716,574,217
Number of Records: 8,032
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$87,345,969,499334
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,653,169,231270
Citigroup$27,110,711,792184
Deutsche Bank$20,015,467,563100
Goldman Sachs$17,924,491,249116
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,924,502,443207
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 TypeYearAgency sort iconPenalty Amount
Bank of AmericaBank of Americaemployment discrimination2016EEOC$30,000
Farmers Insurance ExchangeFarmers Insurance Exchangeemployment discrimination2016EEOC$225,000
Allstate Insurance CompanyAllstateemployment discrimination2009EEOC$4,500,000
Merrill LynchBank of Americaemployment discrimination2008EEOC$1,550,000
Vanguard Group, Inc.Vanguard Groupemployment discrimination2008EEOC$500,000
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2006EEOC$2,200,000
Morgan StanleyMorgan Stanleyemployment discrimination2004EEOC$54,000,000
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2002EEOC$150,000
Salomon Smith BarneyMorgan Stanleyemployment discrimination2001EEOC$635,000
Josephthal & Co.Oppenheimer Holdingsemployment discrimination2000EEOC$330,000
Cincinnati Bell Telephone and Cincinnati Bell Information SystemsMacquarieemployment discrimination2000EEOC$1,000,000
Brown & BrownBrown & Brownemployment discrimination2017EEOC$100,000
Asurion, LLCAsurionemployment discrimination2019EEOC$50,000
Wilmington Trust CorporationM&T Bankemployment discrimination2018EEOC$700,000
Zenith Insurance Co.Fairfax Financial Holdingsemployment discrimination2006EEOC$180,000
Indiana Insurance Co.Liberty Mutual Insuranceemployment discrimination2004EEOC$178,065
Fifth Third BankFifth Third Bancorpemployment discrimination2004EEOC$225,000
Wilmington Trust Co.M&T Bankemployment discrimination2004EEOC$70,000
Wells Fargo Financial Texas, Inc.Wells Fargoemployment discrimination2003EEOC$110,000
M&T BankM&T Bankemployment discrimination2020EEOC$100,000
Jackson National Life Insurance CompanyJackson Financialemployment discrimination2020EEOC$20,500,000
American Security Insurance CompanyAssurantemployment discrimination2020EEOC$49,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.employment discrimination2021EEOC$40,000
Citizens BankCitizens Financial Groupemployment discrimination2023EEOC$100,000
FIRST NIAGARA FINANCIAL GROUP, INC.KeyCorpbenefit plan administrator violation2011EBSA$10,001
FIRST NBC BANKHancock Whitney Corp.benefit plan administrator violation2011EBSA$10,001
E*Trade Group, Inc.Morgan Stanleybenefit plan administrator violation2008EBSA$50,001
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2007EBSA$50,001
FIRST FINANCIAL BANCORPFirst Financial Bancorp.benefit plan administrator violation2007EBSA$50,001
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
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLANAmerican International Groupbenefit plan administrator violation2005EBSA$50,001
Wachovia National Bank, N.A.Wells Fargobenefit plan administrator violation2000EBSA$30,000,000
Harris N.A.Bank of Montrealbenefit plan administrator violation2007EBSA$274,600
Bank of HawaiiBank of Hawaiibenefit plan administrator violation2009EBSA$2,500,000
Independent BankIndependent Bank Corp. (Michigan)benefit plan administrator violation2011EBSA$95,700
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americabenefit plan administrator violation2011EBSA$170,854
Morgan Keegan and Co. Inc.Raymond James Financialbenefit plan administrator violation2012EBSA$633,715
ING Life Insurance and Annuity Co.Voya Financialbenefit plan administrator violation2013EBSA$5,200,000
Western Asset Management CompanyFranklin Resourcesbenefit plan administrator violation2014EBSA$21,000,000
Bank of New York MellonBank of New York Mellonbenefit plan administrator violation2015EBSA$84,000,000
Invesco Trust CompanyInvescobenefit plan administrator violation2016EBSA$10,270,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2018EBSA$10,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2019EBSA$10,001
AON RISK SERVICES OF PR, INC.Aonbenefit plan administrator violation2019EBSA$10,001
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2020EBSA$88,000,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2021EBSA$50,000
FMR LLCFidelity Investmentsbenefit plan administrator violation2021EBSA$10,001
Wells Fargo and CompanyWells Fargobenefit plan administrator violation2022EBSA$145,000,000
Stonex Group Inc.StoneX Groupbenefit plan administrator violation2023EBSA$10,001
Principal Life Insurance CompanyPrincipal Financialbenefit plan administrator violation2023EBSA$10,001
Midland Credit Management, Inc.Encore Capital Groupbenefit plan administrator violation2023EBSA$10,001
Stonex Group Inc.StoneX Groupbenefit plan administrator violation2024EBSA$50,001
JPMorgan Chase Bank N.A.JPMorgan Chasebankruptcy professional violation2015DOJ_UTP$50,000,000
Citibank N.A.Citigroupbankruptcy professional violation2018DOJ_UTP$5,000,000
Wells Fargo Bank N.A.Wells Fargobankruptcy professional violation2015DOJ_UTP$81,600,000
Capital One Bank (USA) N.A.Capital One Financialbankruptcy professional violation2011DOJ_UTP$2,350,000
Nationstar Mortgage, LLCMr. Cooper Groupmortgage abuses2020DOJ_UTP$40,000,000
U.S. Bank National AssociationU.S. Bancorpmortgage abuses2020DOJ_UTP$29,000,000
PNC Bank, NAPNC Financial Servicesmortgage abuses2020DOJ_UTP$5,000,000
Bank Julius Baer & Co. Ltd.Julius Baer Grouptax violations2016DOJ_TAX$547,000,000
Union Bancaire PriveeUnion Bancaire Priveetax violations2016DOJ_TAX$187,000,000
Coutts & Co LtdUnion Bancaire Priveetax violations2015DOJ_TAX$78,484,000
Credit Agricole (Suisse) SACredit Agricoletax violations2015DOJ_TAX$99,211,000
Deutsche Bank (Suisse) SADeutsche Banktax violations2015DOJ_TAX$31,026,000
BNP Paribas (Suisse) SABNP Paribastax violations2015DOJ_TAX$59,783,000
Standard Chartered Bank (Switzerland) SA, en liquidationStandard Charteredtax violations2015DOJ_TAX$6,337,000
BBVA Suiza S.A.Banco Bilbao Vizcaya Argentariatax violations2015DOJ_TAX$10,390,000
Societe Generale Private Banking (Suisse) SASociete Generaletax violations2015DOJ_TAX$17,807,000
Societe Generale Private Banking (Lugano-Svizzera)Societe Generaletax violations2015DOJ_TAX$1,363,000
Bank Leumi GroupBank Leumitax violations2014DOJ_TAX$270,000,000
Credit Suisse AGUBStax violations2014DOJ_TAX$1,800,000,000
UBS AGUBStax violations2009DOJ_TAX$780,000,000
Zurich Life Insurance Company LtdZurich Insurancetax violations2019DOJ_TAX$5,115,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveetax violations2020DOJ_TAX$14,000,000
Coutts & Co Ltd.Union Bancaire Priveetax violations2019DOJ_TAX$27,900,000
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd.Bank Hapoalimtax violations2020DOJ_TAX$616,910,000
Swiss Life Holding AG et al.Swiss Life Grouptax violations2021DOJ_TAX$77,374,337
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015DOJ_RIGHTS$9,350,000
Chevy Chase Bank F.S.B.Capital One Financialmortgage abuses2013DOJ_RIGHTS$2,850,000
Bank of America N.A.Bank of Americabanking violation2012DOJ_RIGHTS$370,000,000
Wells Fargo BankWells Fargomortgage abuses2012DOJ_RIGHTS$234,300,000
SunTrust Mortgage Inc.Truist Financialbanking violation2012DOJ_RIGHTS$21,000,000
Mortgage Guaranty Insurance Corporation (MGIC)MGIC Investment Corp.mortgage abuses2012DOJ_RIGHTS$550,000
Countrywide Financial CorporationBank of Americamortgage abuses2011DOJ_RIGHTS$335,000,000
Wells Fargo & CompanyWells FargoAmericans with Disabilities Act2011DOJ_RIGHTS$16,055,000
Citizens Republic Bancorp Inc.Huntington Bancsharesbanking violation2011DOJ_RIGHTS$3,600,000
PrimeLendingHilltop Holdingsmortgage abuses2010DOJ_RIGHTS$2,000,000
Capital One N.A.Capital One Financialconsumer protection violation2012DOJ_RIGHTS$12,000,000
Sallie Mae Inc.SLM Corp.consumer protection violation2014DOJ_RIGHTS$60,000,000
HSBC Finance CorporationHSBCconsumer protection violation2016DOJ_RIGHTS$434,500
Compass BankPNC Financial Servicesdiscriminatory practices (non-employment)2007DOJ_RIGHTS$1,750,000
AIG Federal Savings Bank and Wilmington Finance Inc.American International Groupdiscriminatory practices (non-employment)2010DOJ_RIGHTS$6,100,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2016DOJ_RIGHTS$4,100,000
Union Savings Bank and Guardian Savings BankUnion Savings Bankdiscriminatory practices (non-employment)2016DOJ_RIGHTS$9,000,000
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer ServicesWells Fargoconsumer protection violation2017DOJ_RIGHTS$5,400,000
CitiFinancial Credit CompanyCitigroupconsumer protection violation2017DOJ_RIGHTS$907,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.