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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
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2005PA-INS$5,000
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2005PA-INS$5,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2005PA-INS$5,000
ALLSTATE LIFE INSURANCE CO.Allstateinsurance violation2005VA-INS$5,000
LIBERTY MUTUAL INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2005VA-INS$30,000
CUNA MUTUAL INSURANCE SOCIETYCUNA Mutualinsurance violation2005VA-INS$40,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2005VA-INS$5,000
CONSECO SENIOR HEALTH INS.CNO Financialinsurance violation2005VA-INS$7,500
AMERICAN HEALTH & LIFE INSURANCE COOneMain Holdingsinsurance violation2005VA-INS$7,000
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2005WI-INS$20,000
Progressive Northern Ins Co.Progressiveinsurance violation2005WI-INS$5,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2005WI-INS$5,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2005WI-INS$9,500
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005WI-FIN$7,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $28,750,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2005MULTI-FIN$264,079
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MULTI-FIN$18,000,000
Western and Southern Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2005MULTI-FIN$2,400,000
Bank of America, NABank of Americadiscriminatory practices (non-employment)2005private lawsuit-federal$3,670,000
Bank One, KY, N.A.JPMorgan Chasediscriminatory practices (non-employment)2005private lawsuit-federal$6,715,000
U.S. BancorpU.S. Bancorpdiscriminatory practices (non-employment)2005private lawsuit-federal$2,495,000
VitolVitolenvironmental violation2005CA-ARB$20,000
WHEELABRATOR SOUTH BROWARD, INC.Macquarieenvironmental violation2005FL-DEP$14,450
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusenvironmental violation2005FL-DEP$8,500
SUN LIFE ASSURANCE CO OF CANADASun Life Financialenvironmental violation2005MA-ENV$31,635
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2005NJ-ENV$103,600
BUCKEYE PIPELINE CO LLPIFM Investorsenvironmental violation2005NJ-ENV$31,500
Synagro - WWT, Inc.Goldman Sachsenvironmental violation2005OH-ENV$10,000
Wheelabrator Falls Inc.Macquarieenvironmental violation2005PA-ENV$106,849
Bank Of America NABank of Americaenvironmental violation2005TX-ENV$12,480
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2005FINRA$14,000,000
Wells Fargo InvestmentsWells Fargoinvestor protection violation2005FINRA$3,000,000
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$290,262
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$12,300,000
State Street Global Markets LLCState Street Corp.investor protection violation2005FINRA$1,400,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2005FINRA$4,478,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2005FINRA$2,108,000
RBC Dain Rauscher, Inc.Royal Bank of Canadainvestor protection violation2005FINRA$1,158,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$1,250,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005FINRA$2,200,000
Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2005FINRA$950,000
Investment Centers of America, Inc.LPL Financialinvestor protection violation2005FINRA$363,500
ING Funds DistributorVoya Financialinvestor protection violation2005FINRA$1,500,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2005FINRA$300,000
Morgan Stanley DW, Inc.Morgan Stanleyinvestor protection violation2005FINRA$6,100,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005FINRA$280,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2005FINRA$220,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2005FINRA$160,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2005FINRA$140,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2005FINRA$90,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2005FINRA$90,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2005FINRA$60,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2005FINRA$60,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2005FINRA$40,000
UBS International Inc.UBSinvestor protection violation2005FINRA$10,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2005FINRA$2,650,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2005FINRA$150,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2005FINRA$125,000
AllianceBernstein Investment Research and Management, Inc.Equitable Holdingsinvestor protection violation2005FINRA$3,984,087
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2005FINRA$2,970,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2005FINRA$2,500,000
RBC Dain Rauscher, Inc.Royal Bank of Canadainvestor protection violation2005FINRA$1,700,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2005FINRA$900,000
SunTrust Capital Markets, Inc.Truist Financialinvestor protection violation2005FINRA$100,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2005FINRA$888,000
Thomas Weisel PartnersStifel Financialinvestor protection violation2005FINRA$1,750,000
Jefferson Pilot Variable CorporationLincoln Nationalinvestor protection violation2005FINRA$688,697
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2005FINRA$6,250,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2005FINRA$13,000,000
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$2,000,000
Spear, Leeds & Kellogg, L.PGoldman Sachsinvestor protection violation2005FINRA$1,000,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005FINRA$275,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2005FINRA$250,000
Banc One Securities CorporationJPMorgan Chaseinvestor protection violation2005FINRA$400,000
Highmark, Inc.Highmark Inc.campaign finance violation2005FEC$54,078
Washington Mutual Bank, F. A.JPMorgan Chaseenvironmental violation2005CA-SCAQMD$23,264
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2005CA-LCO$6,572
SPENCER PRESS OF MAINE INC.Chatham Asset Managementworkplace safety or health violation2005OSHA$35,000
Vitol S.A., Inc.Vitolenvironmental violation2005EPA$41,600
Cinergy Marketing & Trading, LPBNP Paribasdata submission deficiencies2004CFTC$3,000,000
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2004CFTC$25,000
FIRST BANKFirst Bancorp (North Carolina)banking violation2004FDIC$12,000
NEW YORK COMMUNITY BANKNew York Community Bancorpbanking violation2004FDIC$8,000
Citigroup Inc.Citigroupbanking violation2004FED$70,000,000
UBS AGUBSeconomic sanction violation2004FED$100,000,000
Credit Agricole S.A.Credit Agricolebanking violation2004FED$8,000,000
Manulife Financial CorporationManulife Financialinvestor protection violation2004DOJ_ANTITRUST$1,000,000
Highmark, Inc.Highmark Inc.False Claims Act and related2004DOJ_CIVIL$1,500,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2004DOJ_CRIMINAL$80,000,000
ABN AMRO Bank, IncABN AMROeconomic sanction violation2004OFAC$25,847
American ExpressAmerican Expresseconomic sanction violation2004OFAC$18,391
American Express Bank Ltd.American Expresseconomic sanction violation2004OFAC$5,041
American Express CompanyAmerican Expresseconomic sanction violation2004OFAC$5,500
Arab Banking Corp.Arab Banking Corp.economic sanction violation2004OFAC$5,500
Bank of AmericaBank of Americaeconomic sanction violation2004OFAC$13,573
Bank of ChinaBank of Chinaeconomic sanction violation2004OFAC$10,000
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$137,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$34,623
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$27,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.