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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,398,347,522
Number of Records: 7,169
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 TypeYearAgencyPenalty Amount sort icon .
CitigroupCitigrouptoxic securities abuses2011NCUA$20,500,000
Jackson National Life Insurance CompanyJackson Financialemployment discrimination2020EEOC$20,500,000
IFCO SystemsTriton Investments Adviserswork visa violations2008USAO$20,700,000
SunTrust Mortgage Inc.Truist Financialbanking violation2012DOJ_RIGHTS$21,000,000
Merrill LynchBank of Americawage and hour violation2013private lawsuit-federal$21,000,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$21,000,000
Western Asset Management CompanyFranklin Resourcesbenefit plan administrator violation2014EBSA$21,000,000
Bank of America CorpBank of Americabenefit plan administrator violation2011private lawsuit-federal$21,000,000
QBE Holdings Inc.QBE Insuranceinsurance violation2017MULTI-FIN$21,164,000
Fifth Third BankFifth Third Bancorpconsumer protection violation2015CFPB$21,500,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
Banco Popular de Puerto RicoPopular Inc.anti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
Deutsche Bank Americas Holding Corp.Deutsche Bankbenefit plan administrator violation2019private lawsuit-federal$21,900,000
Citigroup Inc.Citigroupbanking violation2012FED$22,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2012SEC$22,000,000
Bank of AmericaBank of Americawage and hour violation2001private lawsuit-state$22,000,000
Santander Consumer USA Holdings Inc.Banco Santanderconsumer protection violation2017MA-AG$22,000,000
Wells FargoWells Fargoworkplace whistleblower retaliation2022OSHA$22,000,000
Regions Financial Corp.Regions Financialbenefit plan administrator violation2014private lawsuit-federal$22,500,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016IL-AG$22,500,000
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
TIAA-CREFTIAAbenefit plan administrator violation2014private lawsuit-federal$22,800,000
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2020SEC$22,919,155
UBS Financial Services, Inc.UBSinvestor protection violation2007NY-AG$23,300,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2017NY-AG$23,500,000
Wells FargoWells Fargoconsumer protection violation2010MULTI-AG$23,700,000
JPMorgan ChaseJPMorgan Chaseemployment discrimination2018private lawsuit-federal$24,000,000
BB&T CorporationTruist Financialbenefit plan administrator violation2019private lawsuit-federal$24,000,000
Hartford Life Insurance CompanyHartford Financial Servicesinsurance violation2012NY-DFS$24,000,000
BNY Mellon Securities LLCBank of New York Melloninvestor protection violation2011SEC$24,045,447
American International Group, Inc.American International Groupbenefit plan administrator violation2008private lawsuit-federal$24,200,000
John Hancock Life Insurance CompanyManulife Financialdiscriminatory practices (non-employment)2009private lawsuit-federal$24,400,000
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2016SEC$24,500,000
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2007MULTI-FIN$24,650,000
Western Sky Financial, LLC and CashCall, Inc.CashCall Inc.consumer protection violation2015MI-AG$24,700,000
UBS Financial Services Inc.UBSinvestor protection violation2006NJ-AG$24,750,000
Merrill Lynch Commodities, Inc.Bank of Americainvestor protection violation2019CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000
PayPal Inc.PayPal Holdingsconsumer protection violation2015CFPB$25,000,000
Bank of America, National AssociationBank of Americabanking violation2014OCC$25,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2006DOJ_CRIMINAL$25,000,000
Riggs Bank National AssociationPNC Financial Servicesanti-money-laundering deficiencies2004OCC$25,000,000
ICAP plcCME Groupinvestor protection violation2009SEC$25,000,000
Zurich Financial ServicesZurich Insuranceaccounting fraud or deficiencies2008SEC$25,000,000
The BISYS GroupCitigroupaccounting fraud or deficiencies2007SEC$25,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003SEC$25,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017CFTC$25,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americabenefit plan administrator violation2017private lawsuit-federal$25,000,000
Citibank, N.A.Citigroupbanking violation2019OCC$25,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2010FL-AG$25,000,000
MBIA, Inc.MBIAinvestor protection violation2007NY-AG$25,000,000
Merrill Lynch Commodities Inc.Bank of Americaprice-fixing or anti-competitive practices2019DOJ_CRIMINAL$25,000,000
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2006MULTI-AG$25,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003NY-MANDA$25,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003NY-MANDA$25,000,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2003MULTI-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
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2003MULTI-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
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003MULTI-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
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
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2003MULTI-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
UBS Warburg and UBS PaineWebberUBSinvestor protection violation2003MULTI-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
MetLife Securities, Inc.MetLifeinvestor protection violation2016FINRA$25,000,000
Farmers InsuranceZurich Insuranceinsurance violation2021OK-AG$25,000,000
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$25,000,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2001NJ-DBI$25,100,000
Wells Fargo Bank, N.A.Wells Fargowage and hour violation2020private lawsuit-federal$25,696,122
LPL Financial LLCLPL Financialinvestor protection violation2019MULTI-AG$25,848,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2012IL-SEC$25,930,000
Banc of America Securities LLCBank of Americafraud2007SEC$26,000,000
LPL Financial LLCLPL Financialinvestor protection violation2018MULTI-FIN$26,000,000
PaineWebber IncorporatedUBSinvestor protection violation2000SEC$26,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020NH-BSR$26,250,000
John Hancock Life & Health Insurance CompanyManulife Financialinsurance violation2022NY-DFS$26,300,000
Nomura Securities International Inc.Nomurainvestor protection violation2019SEC$26,400,000
Merrill LynchBank of Americainvestor protection violation2010MULTI-FIN$26,563,094
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2012SEC$26,600,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2016MULTI-AG$26,750,000
HSBC SecuritiesHSBCmortgage abuses2018MA-AG$26,800,000
Chemoil CorporationGlencoreenvironmental violation2016EPA$27,000,000
Banco Bilbao Vizcaya Argentaria, S.A.Banco Bilbao Vizcaya Argentariabanking violation2016FED$27,000,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.consumer protection violation2005IL-AG$27,000,000
Bank of LouisvilleTruist Financialinvestor protection violation2002KY-INS$27,000,000
CHEMOIL CORPORATIONGlencoreenvironmental violation2016EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $27,000,000
Credit Acceptance CorporationCredit Acceptance Corp.consumer protection violation2021MA-AG$27,200,000
Wells FargoWells Fargowage and hour violation2018private lawsuit-state$27,500,000
National City MortgagePNC Financial Serviceswage and hour violation2008private lawsuit-federal$27,500,000
Ameriprise Financial, Inc.Ameriprise Financialbenefit plan administrator violation2015private lawsuit-federal$27,500,000
Coutts & Co Ltd.NatWest Group PLCtax violations2019DOJ_TAX$27,900,000
Bear Stearns Companies, LLCJPMorgan Chasemortgage abuses2008FTC$28,000,000
TCF National BankHuntington Bancsharesconsumer protection violation2018CFPB$28,000,000
Bank of New York MellonBank of New York Melloninvestor protection violation2013FL-AG$28,000,000
PHH Mortgage CorporationOcwen Financialmortgage abuses2016NY-DFS$28,000,000
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2021private lawsuit-federal$28,000,000
Option One Mortgage CorporationOcwen Financialtoxic securities abuses2012SEC$28,200,000
Morgan Stanley Mortgage Capital HoldingsMorgan Stanleytoxic securities abuses2011NV-AG$28,200,000
Navy Federal Credit UnionNavy Federal Credit Unionconsumer protection violation2016CFPB$28,500,000
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
CitiFinancial Servicing and CitiMortgage, Inc.Citigroupconsumer protection violation2017CFPB$28,800,000
U.S. Bank National AssociationU.S. Bancorpmortgage abuses2020DOJ_UTP$29,000,000
Jardine Lloyd Thompson Group Holdings Ltd.Marsh & McLennanForeign Corrupt Practices Act2022DOJ_CRIMINAL$29,081,951
Walter Investment Management Corp.Ditech Holding CorporationFalse Claims Act and related2015DOJ_CIVIL$29,630,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.