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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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 icon . AgencyPenalty Amount
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2005NH-BSR$435,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NH-BSR$7,375,000
American International Specialty Lines Insurance Co.American International Groupinsurance violation2005NJ-DBI$13,000
American Security Insurance Co. et al.Assurantinsurance violation2005NJ-DBI$1,775,000
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2005NJ-DBI$72,256
ABN AMROABN AMROeconomic sanction violation2005NY-DFS$20,000,000
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2005OR-FIN$25,000
Farmers Insurance Company of OregonZurich Insuranceinsurance violation2005OR-FIN$11,000
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2005OR-FIN$5,000
MetLife SecuritiesMetLifeinvestor protection violation2005OR-FIN$12,000
Progressive Classic Insurance CompanyProgressiveinsurance violation2005OR-FIN$8,000
Marsh USA, Inc.Marsh & McLennaninsurance violation2005OR-FIN$75,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2005PA-INS$50,000
Great American Insurance CompanyAmerican Financial Groupinsurance violation2005PA-INS$150,000
Foremost Insurance Company of Grand Rapids, MichiganZurich Insuranceinsurance violation2005PA-INS$5,000
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
Big Cajun 2 - Louisiana Generating LLCMacquarieenvironmental violation2005EPA$19,250
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.