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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
JPMorgan Chase$39,688,888,209277
Wells Fargo$27,616,269,231266
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,264,317,61841
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
CHUBB INDEMNITY INSURANCE, ET AL.Chubb Limitedinsurance violation2007VA-INS$5,000
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2007VA-INS$25,600
OppenheimerFunds Distributor, Inc.Invescoinvestor protection violation2007WA-FIN$669,500
Asurion Warranty Services, Inc.Asurioninsurance violation2007WI-INS$5,000
Austin Mutual Insurance Co.American Family Insuranceinsurance violation2007WI-INS$8,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2007WI-FIN$50,000
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2007MULTI-FIN$584,622
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2007MULTI-FIN$24,650,000
Allstate CorporationAllstatediscriminatory practices (non-employment)2007private lawsuit-federal$11,720,000
VitolVitolair pollution violation2007CA-ARB$150,000
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsair pollution violation2007NJ-ENV$5,700
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2007NJ-ENV$11,760
Buckeye Pipe Line Company, L.P.IFM Investorsenvironmental violation2007OH-ENV$30,000
Citizens Bank of Rhode IslandCitizens Financial Groupenvironmental violation2007RI-ENV$7,510
Fidelity Management Trust CompanyFidelity Investmentsbenefit plan administrator violation2007private lawsuit-federal$10,850,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2007FINRA$500,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007FINRA$300,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2007FINRA$1,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2007FINRA$370,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2007FINRA$12,500,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2007FINRA$2,600,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2007FINRA$6,100,000
MML Investors Services, Inc.Massachusetts Mutual Life Insuranceinvestor protection violation2007FINRA$473,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2007FINRA$354,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2007FINRA$100,000
Wells Fargo Securities, LLCWells Fargoinvestor protection violation2007FINRA$250,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007FINRA$2,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2007FINRA$15,200,000
HSBC BrokerageHSBCinvestor protection violation2007FINRA$250,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors CorporationFidelity Investmentsinvestor protection violation2007FINRA$400,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2007FINRA$2,750,000
Banc of America Investment Services Inc.Bank of Americaanti-money-laundering deficiencies2007FINRA$3,000,000
Putnam Retail Management Limited PartnershipFranklin Resourcesinvestor protection violation2007FINRA$175,000
AllianceBernstein Investments, Inc.Equitable Holdingsinvestor protection violation2007FINRA$100,000
Fidelity Distributors Corp. et al.Fidelity Investmentsinvestor protection violation2007FINRA$3,750,000
Bank of AmericaBank of Americaair pollution violation2007CA-SCAQMD$46,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.price-fixing or anti-competitive practices2007private lawsuit-federal$28,000,000
CITIMORTGAGE, INC.Citigroupworkplace safety or health violation2007OSHA$5,097
WASHINGTON MUTUALJPMorgan Chaseworkplace safety or health violation2007OSHA$5,000
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INCInvescoworkplace safety or health violation2007OSHA$5,200
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2007OSHA$9,210
PRO LINE PRINTING, INC.Chatham Asset Managementworkplace safety or health violation2007OSHA$5,000
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2007OSHA$5,550
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2007OSHA$5,625
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2007OSHA$5,100
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2007OSHA$27,690
BUSEY BANKFirst Busey Corp.banking violation2006FDIC$5,200
THE RICHLAND TRUST COMPANYPark National Corp.banking violation2006FDIC$11,100
Crawford and CompanyCrawford & Co.False Claims Act and related2006DOJ_CIVIL$1,363,204
Prudential Equity Group LLCPrudential Financialinvestor protection violation2006DOJ_CRIMINAL$600,000,000
BankAtlanticTruist Financialanti-money-laundering deficiencies2006DOJ_CRIMINAL$10,000,000
Williams Power Company Inc.JPMorgan Chaseinvestor protection violation2006DOJ_CRIMINAL$50,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2006DOJ_CRIMINAL$25,000,000
ABN AMRO Bank, N.V.ABN AMROeconomic sanction violation2006OFAC$40,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2006OCC$125,000
First National Bank of OmahaFirst National of Nebraskabanking violation2006OCC$25,000
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2006OCC$16,500
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.insider trading2006SEC$3,755,839
Hartford Financial Services Group, Inc.Hartford Financial Servicesinvestor protection violation2006SEC$55,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2006SEC$10,000,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2006SEC$125,000
Banc of America Securities LLCBank of Americainvestor protection violation2006SEC$750,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2006SEC$1,500,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2006SEC$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2006SEC$1,500,000
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2006SEC$125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006SEC$1,500,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006SEC$125,000
RBC Dain Rauscher IncRoyal Bank of Canadainvestor protection violation2006SEC$1,500,000
SunTrust Capital Markets Inc.Truist Financialinvestor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2006SEC$125,000
Federal National Mortgage Association (Fannie Mae)Fannie Maeaccounting fraud or deficiencies2006SEC$400,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2006SEC$10,000,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$250,000,000
American International Group, Inc.American International Groupinvestor protection violation2006SEC$800,000,000
Israel Discount BankIsrael Discount Bankanti-money-laundering deficiencies2006FINCEN$12,000,000
CitiMortgage, Inc.Citigroupconsumer protection violation2006HUD$650,000
Fifth Third BankFifth Third Bancorpdiscriminatory practices (non-employment)2006HUD$125,000
ABN AMRO Mortgage GroupABN AMROmortgage abuses2006HUD$41,000,000
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2006EBSA$10,001
HORACE MANN SERVICE CORPORATIONHorace Mann Educators Corp.benefit plan administrator violation2006EBSA$10,001
LAVA TRADING INC.Citigroupbenefit plan administrator violation2006EBSA$50,001
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2006EEOC$2,200,000
Wells Fargo BankWells FargoFamily and Medical Leave Act2006WHD$5,152
Banco Bilbao Vizcaya Puerto RicoBanco Bilbao Vizcaya Argentariawage and hour violation2006WHD$31,571
U.S. BancorpU.S. Bancorpwage and hour violation2006WHD$140,788
The First American Title CompanyFirst American Financialwage and hour violation2006WHD$72,363
TIAA - CREFTIAAwage and hour violation2006WHD$468,336
HSBC North America IncHSBCwage and hour violation2006WHD$5,357
HSBC North America Inc.HSBCwage and hour violation2006WHD$11,489
HSBC North America Inc.HSBCwage and hour violation2006WHD$12,685
HSBC North America Inc.HSBCwage and hour violation2006WHD$8,273
AXA Equitable Life Insurance CompanyEquitable Holdingswage and hour violation2006WHD$29,534
HSBC BankHSBCwage and hour violation2006WHD$7,599
Bank of America CorporationBank of Americawage and hour violation2006WHD$265,774
IFCO Systems of North America Inc.Triton Investments Adviserswage and hour violation2006WHD$82,085
Mercer HR Services, LLCMarsh & McLennanwage and hour violation2006WHD$49,474
SunTrust Bank, Inc.Truist Financialwage and hour violation2006WHD$350,875
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$14,479
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.