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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016MI-FIN$146,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016TX-FIN$23,608
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2002MA-INS$10,900
BANNER LIFE INSURANCE COMPANYLegal & General Group PLCinsurance violation2007VA-INS$5,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2019WA-INS$10,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2022NY-DFS$3,500,000
Banner Life Insurance Co.Legal & General Group PLCinsurance violation2011MD-INS$8,300
Bankers Standard Insurance Company et al.Chubb Limitedinsurance violation2019WA-INS$25,000
Bankers Standard Insurance CompanyChubb Limitedinsurance violation2015WA-INS$25,000
Bankers Standard Insurance Co. et al.Chubb Limitedinsurance violation2019DE-INS$16,000
Bankers Life and Casualty Company and BLC Financial Services, Inc.CNO Financialinvestor protection violation2012MULTI-FIN$10,641,000
Bankers Life and Casualty CompanyCNO Financialprivacy violation2002KY-AG$5,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2008OR-FIN$150,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2010OR-FIN$25,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2011OR-FIN$5,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2012OR-FIN$14,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2014OR-FIN$115,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2004PA-INS$5,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2013VT-FIN$600,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2012MULTI-FIN$4,000,000
BANKERS LIFE AND CASUALTY COMPANYCNO Financialinsurance violation2022MO-INS$38,500
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co.CNO Financialinsurance violation2018MN-FIN$10,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co.CNO Financialinsurance violation2019MN-FIN$175,000
Bankers Life and Casualty Co.CNO Financialprivacy violation2003KS-AG$15,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2016DE-INS$55,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2019DE-INS$41,200
Bankers Life and Casualty Co.CNO Financialinsurance violation2001FL-OFR$10,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2007IN-INS$6,569
Bankers Life and Casualty Co.CNO Financialinsurance violation2017LA-INS$10,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2011MD-INS$10,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2012MD-INS$15,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2018MD-INS$14,100
Bankers Life and Casualty Co.CNO Financialinsurance violation2008MN-FIN$7,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2015MN-FIN$22,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2015MN-FIN$7,500
Bankers Life and Casualty Co.CNO Financialinvestor protection violation2010MO-SEC$789,600
Bankers Life and Casualty Co.CNO Financialinvestor protection violation2015MO-SEC$102,178
Bankers Life and Casualty Co.CNO Financialinsurance violation2013MT-FIN$50,000
BANKERS LIFE AND CASUALTY CO.CNO Financialinsurance violation2013VA-INS$27,000
Bankers Life and CasualtyCNO Financialprivacy violation2008MO-AG$25,000
Bankers Life & Casualty CompanyCNO Financialinsurance violation2011RI-FIN$975,000
Bankers Life & Casualty CompanyCNO Financialinsurance violation2019WA-INS$30,000
Bankers Life & Casualty CompanyCNO Financialinsurance violation2023CT-INS$10,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009CT-INS$100,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009KS-INS$8,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2010KS-INS$22,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2003ME-INS$5,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2005ME-INS$500,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2006ME-INS$7,500
Bankers Life & Casualty Co.CNO Financialinsurance violation2009ME-INS$500,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2011ME-INS$102,801
Bankers Life & Casualty Co.CNO Financialinsurance violation2010WI-INS$1,500,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2012WI-INS$40,000
Bankers Life & CasualtyCNO Financialinsurance violation2013WI-INS$200,000
Bankers Life & CasualtyCNO Financialwage and hour violation2017MI-LEO$16,190
Bankers Conseco Life Insurance CompanyCNO Financialinsurance violation2015NY-DFS$10,270
Bankers Conseco Life Insurance CompanyCNO Financialinsurance violation2020NY-DFS$75,000
Bankers Conseco Life InsuranceCNO Financialinsurance violation2019NY-DFS$27,900
BankAtlanticTruist Financialanti-money-laundering deficiencies2006DOJ_CRIMINAL$10,000,000
BankAtlanticTruist Financialeconomic sanction violation2008OFAC$7,500
Bank One, KY, N.A.JPMorgan Chasediscriminatory practices (non-employment)2005private lawsuit-federal$6,715,000
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$6,682
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupinvestor protection violation2017CFTC$600,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupeconomic sanction violation2012OFAC$8,571,634
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupprice-fixing or anti-competitive practices2018private lawsuit-federal$10,500,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupprice-fixing or anti-competitive practices2018private lawsuit-federal$30,000,000
Bank of Tokyo Mitsubishi-UFJ, LtdMitsubishi UFJ Financial Groupeconomic sanction violation2013NY-DFS$250,000,000
Bank of Tokyo Mitsubishi UFJMitsubishi UFJ Financial Groupeconomic sanction violation2014NY-DFS$315,000,000
Bank of the WestBank of Montrealemployment discrimination2011EEOC$48,000
Bank of the WestBank of Montrealwage and hour violation2015WHD$33,750
BANK OF THE WESTBank of Montrealbanking violation2011FDIC$135,000
BANK OF THE WESTBank of Montrealbanking violation2010FDIC$68,200
Bank of the WestBank of Montrealbanking violation2021FDIC$281,000
Bank Of The WestBank of Montrealwage and hour violation2020CA-LCO$5,783
Bank of the WestBank of Montrealconsumer protection violation2012private lawsuit-federal$18,000,000
BANK OF THE CASCADESFirst Interstate Bancsystembanking violation2008FDIC$43,550
Bank of Nova ScotiaScotiabankinvestor protection violation2018CFTC$800,000
Bank of Nova ScotiaScotiabankprice-fixing or anti-competitive practices2020DOJ_CRIMINAL$60,400,000
Bank of Nova ScotiaScotiabankprice-fixing or anti-competitive practices2022private lawsuit-federal$12,500,000
Bank of Nova ScotiaScotiabankinvestor protection violation2023CFTC$15,000,000
Bank of North GeorgiaSynovus Financialenvironmental violation2011GA-ENV$14,000
Bank of New York Mellon CorporationBank of New York Mellonbanking violation2017FED$3,000,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2015private lawsuit-federal$335,000,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2009private lawsuit-federal$2,200,000
Bank of New York Mellon Corp.Bank of New York Melloninvestor protection violation2011MULTI-AG$1,300,000
Bank of New York Mellon (Shanghai Branch)Bank of New York Mellonexport control violation2011BIS$30,000
Bank of New York MellonBank of New York Mellonbanking violation2015USAO$714,000,000
Bank of New York MellonBank of New York Mellonbenefit plan administrator violation2015EBSA$84,000,000
Bank of New York MellonBank of New York Mellonbanking violation2018FED$16,000
Bank of New York MellonBank of New York Melloninvestor protection violation2018SEC$54,000,000
Bank of New York MellonBank of New York Melloninvestor protection violation2013FL-AG$28,000,000
Bank of New York MellonBank of New York Mellonemployment discrimination2010NJ-AG$188,037
Bank of New York MellonBank of New York Mellonbanking violation2015NY-AG$167,500,000
Bank of New York MellonBank of New York Melloninvestor protection violation2019CFTC$750,000
Bank of New York MellonBank of New York Mellonconsumer protection violation2019private lawsuit-federal$72,500,000
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
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$5,500
Bank of New YorkBank of New York Melloneconomic sanction violation2003OFAC$24,750
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.