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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
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$14,370,701,61843
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
AIG National Insurance CompanyAmerican International Groupinsurance violation2008RI-FIN$10,000
Allstate Texas Lloyd'sAllstateinsurance violation2008TX-INS$71,300,000
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2008TX-INS$21,000
Sentry InsuranceSentry Insuranceinsurance violation2008TX-INS$5,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2008TX-INS$6,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2008TX-SEC$5,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2008TX-SEC$400,000
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$17,500
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$14,875
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2008TX-INS$18,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2008TX-INS$18,000
Virginia Surety Company, Inc.Assurantinsurance violation2008TX-INS$7,000
Ace American Insurance Company et al.Chubb Limitedinsurance violation2008TX-INS$50,000
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$37,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2008TX-INS$7,500
LPL Financial CorporationLPL Financialinvestor protection violation2008TX-SEC$5,000
AIU INSURANCE COMPANY ET AL.American International Groupinsurance violation2008VA-INS$100,000
AIG CASUALTY INSURANCE CO., ET AL.American International Groupinsurance violation2008VA-INS$10,000
AMERIPRISE FINANCIAL SERVICESAmeriprise Financialinvestor protection violation2008VA-SEC$780,000
ALLIED CASH ADVANCE VIRGINIACNG Financialconsumer protection violation2008VA-FIN$38,000
HARTFORD LIFE AND ANNUITY INSURANCEHartford Financial Servicesinsurance violation2008VA-INS$5,000
STATE FARM FIRE, ET AL.State Farm Insuranceinsurance violation2008VA-INS$35,000
ALLIED HOME MORTGAGE CAPITALAmericus Mortgageconsumer protection violation2008VA-FIN$5,000
CITIGROUP GLOBAL MARKETSCitigroupinvestor protection violation2008VA-SEC$22,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2008WI-INS$100,000
Travelers Casualty & Surety Company of AmericaTravelersinsurance violation2008WI-INS$30,000
Universal Underwriters Service Corp.Zurich Insuranceinsurance violation2008WI-INS$10,000
Bank of AmericaBank of Americainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Conseco Senior Health Insurance Company and Bankers Life and Casualty CompanyCNO Financialinsurance violation2008MULTI-FIN$2,342,728
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2008MULTI-FIN$15,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000
Goldman SachsGoldman Sachsinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $22,500,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Merrill LynchBank of Americainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $35,000,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2008MULTI-FIN$1,000,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $9,800,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
Wachovia Securities LLCWells Fargoinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
LOUIS DREYFUS CITRUS INCLouis Dreyfusenvironmental violation2008FL-DEP$21,000
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersenvironmental violation2008FL-DEP$15,000
MANULIFE FINANCIALManulife Financialenvironmental violation2008MA-ENV$18,030
SYNAGRO-PATAPSCO PELLETIZERGoldman Sachsenvironmental violation2008MD-ENV$27,000
BUCKEYE PIPELINE CO LLPIFM Investorsenvironmental violation2008NJ-ENV$10,000
BROADRIDGE FINANCIAL SOLUTIONS INCBroadridge Financial Solutionsenvironmental violation2008NJ-ENV$6,500
E-Trade Securities, LLCMorgan Stanleyinvestor protection violation2008FINRA$500,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2008FINRA$350,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2008FINRA$300,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2008FINRA$250,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$700,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2008FINRA$1,650,000
Comerica Securities, Inc.Comericainvestor protection violation2008FINRA$750,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$300,000
Prudential SecuritiesWells Fargoinvestor protection violation2008FINRA$1,050,000
UBS Financial Services, Inc.UBSinvestor protection violation2008FINRA$1,000,000
Pruco SecuritiesPrudential Financialinvestor protection violation2008FINRA$100,000
Merrill LynchBank of Americainvestor protection violation2008FINRA$250,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2008FINRA$4,500,000
Banc One Securities CorporationJPMorgan Chaseinvestor protection violation2008FINRA$225,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2008FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2008FINRA$200,000
Thomas Weisel Partners, LLCStifel Financialinvestor protection violation2008FINRA$200,000
UBS Securities, LLCUBSinvestor protection violation2008FINRA$200,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2008FINRA$150,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2008FINRA$150,000
Cowen and Company, LLCToronto-Dominion Bankinvestor protection violation2008FINRA$150,000
Deutsche Bank Securities, Inc.,Deutsche Bankinvestor protection violation2008FINRA$150,000
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2008FINRA$150,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2008FINRA$50,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2008FINRA$100,000
COUNTRYWIDE FINANCIAL CORPORATION,Bank of Americawage and hour violation2008CA-LCO$5,164
IFCO SYSTEMS NORTH AMERICA INCTriton Investments Advisersworkplace safety or health violation2008OSHA$5,400
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.Louis Dreyfusworkplace safety or health violation2008OSHA$4,050,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.: ILouis Dreyfusworkplace safety or health violation2008OSHA$2,000,000
SYNAGRO A RESIDUALS MANAGEMENT COMPANYGoldman Sachsworkplace safety or health violation2008OSHA$13,000
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INCInvescoworkplace safety or health violation2008OSHA$59,000
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2008OSHA$18,500
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2008OSHA$7,500
SYNAGRO TECHNOLOGIES INC.Goldman Sachsworkplace safety or health violation2008OSHA$10,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americadata submission deficiencies2007CFTC$500,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2007CFTC$175,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2007FAA$7,000
Cleco Power, LLCMacquarieenergy market violation2007FERC$2,000,000
Capital City BankCapital City Bank Groupbanking violation2007FED$85,045
Hanmi BankHanmi Financial Corp.banking violation2007FED$8,835
East West BankEast West Bancorpbanking violation2007FED$16,245
Mellon Bank, N.A.Bank of New York MellonFalse Claims Act and related2007DOJ_CIVIL$16,500,000
Compass BankPNC Financial Servicesdiscriminatory practices (non-employment)2007DOJ_RIGHTS$1,750,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
American Express Bank InternationalAmerican Expressanti-money-laundering deficiencies2007DOJ_CRIMINAL$55,000,000
BB&TTruist Financialeconomic sanction violation2007OFAC$10,000
American Express Travel Related Services Co., Inc.American Expresseconomic sanction violation2007OFAC$16,625
National Australia Bank Ltd.National Australia Bankeconomic sanction violation2007OFAC$100,000
Wachovia BankWells Fargoeconomic sanction violation2007OFAC$11,000
Associated Bank, National AssociationAssociated Banc-Corpbanking violation2007OCC$125,000
Keybank National AssociationKeyCorpbanking violation2007OCC$27,750
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2007OCC$125,000
Lasalle Bank MidWest National AssociationBank of Americabanking violation2007OCC$125,000
Lasalle Bank National AssociationBank of Americabanking violation2007OCC$79,524
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)investor protection violation2007SEC$50,000,000
Evergreen Investment Management CompanyWells Fargoinvestor protection violation2007SEC$32,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.