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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 Type sort iconYearAgencyPenalty Amount
Wells FargoWells Fargoinvestor protection violation2023CFTC$75,000,000
Bank of MontrealBank of Montrealinvestor protection violation2023CFTC$35,000,000
Wells Fargo Securities, LLC et al.Wells Fargoinvestor protection violation2023SEC$125,000,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2023SEC$35,000,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2023SEC$35,000,000
BMO Capital Markets CorpBank of Montrealinvestor protection violation2023SEC$25,000,000
Mizuho Securities USA LLCMizuho Financialinvestor protection violation2023SEC$25,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2023SEC$10,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2023CFTC$5,500,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2023MO-SEC$150,000
Raymond James & Associates, Inc. et al.Raymond James Financialinvestor protection violation2023MULTI-FIN$12,450,000
LPL Financial, LLCLPL Financialinvestor protection violation2023PA-BKG$190,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2023SEC$2,900,000
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023SEC$35,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2023CFTC$30,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2023CFTC$15,000,000
Bank of America, N.A.Bank of Americainvestor protection violation2023CFTC$8,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2023CFTC$3,000,000
Interactive Brokers Corp. and Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2023CFTC$20,000,000
StoneX Markets LLCStoneX Groupinvestor protection violation2023CFTC$650,000
Wilmington Trust Investment Management, LLCM&T Bankinvestor protection violation2023SEC$1,327,147
Interactive Brokers Corp.Interactive Brokers Groupinvestor protection violation2023SEC$35,000,000
Nuveen Securities LLCTIAAinvestor protection violation2023SEC$8,500,000
Fifth Third Securities Inc.Fifth Third Bancorpinvestor protection violation2023SEC$8,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2023SEC$1,975,000
DWS Investment Management Americas Inc.Deutsche Bankinvestor protection violation2023SEC$25,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2023SEC$6,000,000
Binance Holdings Limited et al.Binance Holdingsinvestor protection violation2023CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000
BlackRock Advisors, LLCBlackRockinvestor protection violation2023SEC$2,500,000
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2023MA-SEC$750,000
LPL Financial, LLCLPL Financialinvestor protection violation2023MA-SEC$250,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2023NH-BSR$200,000
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023ME-SEC$5,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2023ME-SEC$5,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2023MI-SEC$10,000
BofA Securities, Inc.Bank of Americainvestor protection violation2023FINRA$24,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024USAO$153,431,223
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2024SEC$18,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024SEC$83,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2023SEC$10,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2024FINRA$1,600,000
TIAA-CREF Individual & Institutional Services LLCTIAAinvestor protection violation2024SEC$2,200,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024SEC$16,500,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2024SEC$12,000,000
Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2024SEC$8,500,000
U.S. Bancorp Investments Inc.U.S. Bancorpinvestor protection violation2024SEC$8,000,000
Aon Investments USA Inc.Aoninvestor protection violation2024SEC$1,542,187
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2024MA-SEC$7,500,000
Edward D. Jones & Co., LPJones Financialinvestor protection violation2024PA-BKG$300,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024ME-SEC$5,000
J.P. Morgan Securities Inc.JPMorgan Chasekickbacks and bribery2009SEC$75,000,000
Fidelity InvestmentsFidelity Investmentskickbacks and bribery2008SEC$8,000,000
Prospect Mortgage, LLCHomebridge Financial Serviceskickbacks and bribery2011HUD$3,100,000
Fidelity National Financial, Inc.Fidelity National Financialkickbacks and bribery2011HUD$4,500,000
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2007HUD$5,000,000
Fidelity National Title Insurance CompanyFidelity National Financialkickbacks and bribery2007HUD$68,635
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2005HUD$680,000
Metropolitan Life Insurance CompanyMetLifekickbacks and bribery2010USAO$13,500,000
Liberty Mutual Insurance Co.Liberty Mutual Insurancekickbacks and bribery2010CT-AG$2,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennankickbacks and bribery2009CT-AG$2,400,000
Mutual of Omaha Insurance Co.Mutual of Omahakickbacks and bribery2008CT-AG$1,700,000
Principal Financial GroupPrincipal Financialkickbacks and bribery2007CT-AG$5,000,000
Unum GroupUnumkickbacks and bribery2008USAO$5,550,000
Metropolitan Life InsuranceMetLifekickbacks and bribery2008CA-MULTI$500,000
Prudential Insurance Co.Prudential Financialkickbacks and bribery2008CA-MULTI$350,000
Unum Insurance Co.Unumkickbacks and bribery2008CA-MULTI$250,000
VITOL, S.A.Vitolkickbacks and bribery2007NY-MANDA$17,500,000
Freedom Mortgage CorporationFreedom Mortgagekickbacks and bribery2023CFPB$1,750,000
TIAA-CREFTIAAlabor relations violation2016NLRB$304,216
Grandbridge Real Estate Capital, LLCTruist Financiallabor relations violation2015NLRB$70,000
Seterus, Inc.Mr. Cooper Grouplabor relations violation2013NLRB$72,162
Bank of America, National AssociationBank of Americalabor relations violation2013NLRB$18,634
IFCO SYSTEMSTriton Investments Adviserslabor relations violation2013NLRB$91,866
El Paso Electric CompanyJPMorgan Chaselabor relations violation2012NLRB$79,692
UBS Inc.UBSlabor relations violation2010NLRB$26,351
National City CorporationPNC Financial Serviceslabor relations violation2009NLRB$24,083
El Paso Electric CompanyJPMorgan Chaselabor relations violation2009NLRB$11,500
National City Corporation d/b/a National City BankPNC Financial Serviceslabor relations violation2008NLRB$49,597
PNC BankPNC Financial Serviceslabor relations violation2006NLRB$40,000
TD BanknorthToronto-Dominion Banklabor relations violation2006NLRB$5,000
J.P. Morgan Chase & Co. and Forum Temporary ServicesJPMorgan Chaselabor relations violation2006NLRB$60,760
Mercury Air Centers, Inc.Macquarielabor relations violation2006NLRB$40,000
USAA InsuranceUSAAlabor relations violation2005NLRB$125,361
Watson Wyatt & Co.Willis Towers Watsonlabor relations violation2005NLRB$91,000
CINCINNATI BELL TELEPHONE A DIVISION OF BROADWINGMacquarielabor relations violation2005NLRB$5,000
Wheelabrator Westchester, L.P.Macquarielabor relations violation2005NLRB$13,000
CINCINNATI BELLMacquarielabor relations violation2004NLRB$39,200
Piccari Press, Inc.Chatham Asset Managementlabor relations violation2003NLRB$10,000
MetLife Financial ServicesMetLifelabor relations violation2002NLRB$18,500
CNG FINANCIAL CORPORATIONCNG Financiallabor relations violation2001NLRB$6,000
First Union BankWells Fargolabor relations violation2000NLRB$9,116
The Prudential Insurance Company of AmericaPrudential Financiallabor relations violation2018NLRB$17,842
Academy Mortgage CorporationAcademy Mortgage Corp.labor relations violation2018NLRB$6,061
NeoviaGoldman Sachslabor relations violation2023NLRB$7,000
The McClatchy CompanyChatham Asset Managementlabor relations violation2022NLRB$15,482
Torchmark CorporationGlobe Life Inc.Medicare Parts C and D Enforcement Action2014CMS$40,000
Torchmark CorporationGlobe Life Inc.Medicare Parts C and D Enforcement Action2013CMS$150,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupmoney laundering2021DOJ_CRIMINAL$79,000,000
Goldman SachsGoldman Sachsmortgage abuses2013FED$330,000,000
Morgan StanleyMorgan Stanleymortgage abuses2013FED$227,000,000
HSBC Bank USA NAHSBCmortgage abuses2016DOJ$470,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.