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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,660,984,318
Number of Records: 7,055
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$83,124,221,356268
JPMorgan Chase$36,129,269,434222
Citigroup$25,540,655,365157
Wells Fargo$22,081,446,244228
Deutsche Bank$18,341,457,30276
UBS$16,880,243,334103
Goldman Sachs$16,399,475,84887
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,154,369,73321
Credit Suisse$10,732,400,12649

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
ALLIED CASH ADVANCE VIRGINIACNG Financialconsumer protection violation2008VA-FIN$38,000
ALLIED HOME MORTGAGE CAPITALAmericus Mortgageconsumer protection violation2008VA-FIN$5,000
ALLIED HOME MORTGAGE CAPITALAmericus Mortgageconsumer protection violation2010VA-FIN$25,000
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2010VA-FIN$150,000
FREEDOM MORTGAGE CORPORATIONFreedom Mortgageconsumer protection violation2016VA-FIN$17,000
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2016VA-FIN$45,000
Prosper Marketplace Inc.Prosper Marketplaceconsumer protection violation2016VT-FIN$60,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2016WA-FIN$59,678
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2016WA-FIN$900,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016WA-FIN$76,421
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2016WA-FIN$250,000
MLD Mortgage, Inc. d/b/a The Money Store and Mortgage Loan DirectMLD Mortgage Inc. dba The Money Storeconsumer protection violation2016WA-FIN$407,103
Cash Call Inc. and Western Sky Financial LLCCashCall Inc.consumer protection violation2015WA-FIN$2,000,000
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCconsumer protection violation2015WA-FIN$120,000
CashCall, Inc.CashCall Inc.consumer protection violation2014WA-FIN$6,390,670
Fifth Third Mortgage Co.Fifth Third Bancorpconsumer protection violation2014WA-FIN$228,626
Countrywide Home Loans Inc.Bank of Americaconsumer protection violation2010WA-FIN$650,000
American General Financial ServicesOneMain Holdingsconsumer protection violation2009WA-FIN$74,984
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2009WA-FIN$52,791
Allstate Financial Services, Inc.Allstateconsumer protection violation2003WA-FIN$58,988
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2018MULTI-FIN$720,000
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2011MULTI-FIN$3,000,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2020CFPB$122,000,000
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2020MA-BKG$25,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2020PA-BKG$7,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020VT-AG$105,000
Morgan Stanley Smith Barney FA Notes Holdings LLCMorgan Stanleyconsumer protection violation2020CA-DFPI$1,000,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2020CA-DFPI$62,000
Freedom Mortgage CorporationFreedom Mortgageconsumer protection violation2020CA-DFPI$75,000
Nationstar Mortgage, LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2020CFPB$74,500,000
Washington Federal Bank, N.A.Washington Federal Inc.consumer protection violation2020CFPB$200,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2020CFPB$15,079,308
Nationstar Mortgage dba Mr. CooperMr. Cooper Groupconsumer protection violation2020MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $86,300,000
New York Life Insurance & Annuity CorporationNew York Life Insuranceconsumer protection violation2021NY-DFS$10,929,000
Discover Bank et al.Discover Financial Servicesconsumer protection violation2020CFPB$35,000,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020CFPB$4,750,000
PayPal, Inc. dba VenmoPayPal Holdingsconsumer protection violation2020MN-FIN$20,000
CitibankCitigroupconsumer protection violation2021MULTI-AG$4,200,000
BB&T Equipment Finance LLCTruist Financialconsumer protection violation2021CA-DFPI$75,000
E-Trade Financial Corporate Services, Inc.Morgan Stanleyconsumer protection violation2021CT-BKG$10,000
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2021CO-AG$3,065,000
United States Fire Insurance Co.Fairfax Financial Holdingsconsumer protection violation2021CO-AG$50,000
GreenSky, LLCGoldman Sachsconsumer protection violation2021CFPB$11,500,000
LendingClub Corp.LendingClub Corp.consumer protection violation2021FTC$18,000,000
Coinbase, Inc.Coinbase Global Inc.consumer protection violation2021FL-OFR$6,500
Moneygram Payment Systems, Inc.MoneyGram Internationalconsumer protection violation2021FL-OFR$9,625
Credit Acceptance CorporationCredit Acceptance Corp.consumer protection violation2021MA-AG$27,200,000
U.S. BankU.S. Bancorpconsumer protection violation2021MA-AG$230,000
SantanderBanco Santanderconsumer protection violation2021MS-AG$3,700,000
Navient Solutions, LLCNavientconsumer protection violation2021CT-BKG$25,400
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021MULTI-AG$500,000
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021WA-FIN$87,500
Synchrony BankSynchrony Financialconsumer protection violation2021CA-MULTI$3,500,000
Santander Consumer USABanco Santanderconsumer protection violation2022MA-AG$5,560,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2022MA-BKG$25,000
LendingTree, LLCLendingTreeconsumer protection violation2021MA-BKG$34,000
NavientNavientconsumer protection violation2022MULTI-AG$1,850,000,000
XL Specialty Insurance CompanyAXAconsumer protection violation2021RI-FIN$15,000
CashCall, Inc. and WS Funding LLCCashCall Inc.consumer protection violation2022AZ-AG$4,800,000
NavientNavientconsumer protection violation2022ID-AG$3,972,316
Navient Corp. and Navient Solutions, LLCNavientconsumer protection violation2022NH-AG$3,590,988
Servicelink, LLCFidelity National Financialconsumer protection violation2022VA-INS$5,000
United Services Automobile Association et al.USAAconsumer protection violation2022VA-INS$71,358
Bank of AmericaBank of Americaconsumer protection violation2022CFPB$10,000,000
Highmark, Inc.Highmark Inc.campaign finance violation2005FEC$54,078
Fannie MaeFannie Maecampaign finance violation2004FEC$10,000
Branch Banking & Trust CorporationTruist Financialcampaign finance violation2001FEC$22,000
FIRST NIAGARA FINANCIAL GROUP, INC.KeyCorpbenefit plan administrator violation2011EBSA$10,001
FIRST NBC BANKHancock Whitney Corp.benefit plan administrator violation2011EBSA$10,001
E*Trade Group, Inc.Morgan Stanleybenefit plan administrator violation2008EBSA$50,001
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2007EBSA$50,001
FIRST FINANCIAL BANCORPFirst Financial Bancorp.benefit plan administrator violation2007EBSA$50,001
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
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLANAmerican International Groupbenefit plan administrator violation2005EBSA$50,001
Wachovia National Bank, N.A.Wells Fargobenefit plan administrator violation2000EBSA$30,000,000
Harris N.A.Bank of Montrealbenefit plan administrator violation2007EBSA$274,600
Bank of HawaiiBank of Hawaiibenefit plan administrator violation2009EBSA$2,500,000
Independent BankIndependent Bank Corp. (Michigan)benefit plan administrator violation2011EBSA$95,700
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americabenefit plan administrator violation2011EBSA$170,854
Morgan Keegan and Co. Inc.Raymond James Financialbenefit plan administrator violation2012EBSA$633,715
ING Life Insurance and Annuity Co.Voya Financialbenefit plan administrator violation2013EBSA$5,200,000
Western Asset Management CompanyFranklin Resourcesbenefit plan administrator violation2014EBSA$21,000,000
Bank of New York MellonBank of New York Mellonbenefit plan administrator violation2015EBSA$84,000,000
Invesco Trust CompanyInvescobenefit plan administrator violation2016EBSA$10,270,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2018EBSA$10,001
FleetBoston Financial CorpBank of Americabenefit plan administrator violation2008private lawsuit-federal$83,401,000
J.P. Morgan Chase Retirement PlanJPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$604,957
SunTrust Banks, Inc.Truist Financialbenefit plan administrator violation2018private lawsuit-federal$4,750,000
Washington Mutual Inc.JPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$49,000,000
Washington Mutual Pension PlanJPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$20,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennanbenefit plan administrator violation2010private lawsuit-federal$35,000,000
Bank of America CorpBank of Americabenefit plan administrator violation2011private lawsuit-federal$21,000,000
U.S. Bank Pension PlanU.S. Bancorpbenefit plan administrator violation2012private lawsuit-federal$9,600,000
First Horizon National CorporationFirst Horizon Nationalbenefit plan administrator violation2012private lawsuit-federal$6,000,000
Regions Financial Corp.Regions Financialbenefit plan administrator violation2014private lawsuit-federal$22,500,000
United Community Banks, Inc.United Community Banks Inc.benefit plan administrator violation2013private lawsuit-federal$3,500,000
Flagstar Bancorp, Inc.Flagstar Bancorpbenefit plan administrator violation2013private lawsuit-federal$3,000,000
ING Life Insurance & Annuity Co.Voya Financialbenefit plan administrator violation2014private lawsuit-federal$14,950,000
Nationwide Life InsuranceNationwidebenefit plan administrator violation2015private lawsuit-federal$140,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.