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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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 TypeYear sort icon . AgencyPenalty Amount
Societe GeneraleSociete Generaleeconomic sanction violation2003OFAC$11,000
State Street Bank & Trust CoState Street Corp.economic sanction violation2003OFAC$22,000
UBS (USA) IncUBSeconomic sanction violation2003OFAC$14,750
UBS (USA) IncUBSeconomic sanction violation2003OFAC$5,000
Union Bank of CAU.S. Bancorpeconomic sanction violation2003OFAC$14,913
Union Bank of CAU.S. Bancorpeconomic sanction violation2003OFAC$12,000
Wells Fargo BankWells Fargoeconomic sanction violation2003OFAC$5,500
National City BankPNC Financial Servicesbanking violation2003OCC$56,800
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceaccounting fraud or deficiencies2003SEC$80,000,000
Alliance Capital Management L.P.Equitable Holdingsinvestor protection violation2003SEC$250,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003SEC$50,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003SEC$25,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2003SEC$10,000,000
Goldman SachsGoldman Sachsinvestor protection violation2003SEC$9,305,382
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2003SEC$917,858
UBS PaineWebber, Inc.UBSinvestor protection violation2003SEC$500,000
Deutsche Asset Management, Inc.Deutsche Bankinvestor protection violation2003SEC$750,000
SG Cowen Securities CorporationCowen Inc.investor protection violation2003SEC$5,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$101,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$19,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003SEC$135,000,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2003SEC$382,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupinvestor protection violation2003SEC$400,000,000
Credit Suisse First Boston LLCCredit Suisseinvestor protection violation2003SEC$200,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2003SEC$110,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2003SEC$200,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2003SEC$125,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003SEC$32,500,000
UBS Warburg LLCUBSinvestor protection violation2003SEC$80,000,000
Merrill Lynch & Co. Inc.Bank of Americaaccounting fraud or deficiencies2003SEC$80,000,000
Cleco CorporationMacquarieenergy market violation2003FERC$2,850,000
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2003HUD$370,000
Household InternationalHSBCwage and hour violation2003WHD$54,328
Bear Stearns Companies Inc.JPMorgan Chasewage and hour violation2003WHD$358,974
Alliance Data Systems, Inc.Bread Financial Holdingswage and hour violation2003WHD$40,320
Piccari Press, Inc.Chatham Asset Managementlabor relations violation2003NLRB$10,000
Banco Popular de Puerto RicoPopular Inc.anti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
Credit LyonnaisCredit Agricolefraud2003USAO$100,000,000
H & R BlockH&R Blockwage and hour violation2003CA-LCO$12,000
Bank of AmericaBank of Americawage and hour violation2003private lawsuit-state$4,100,000
Metropolitan LifeMetLifeemployment discrimination2003private lawsuit-federal$10,000,000
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2003private lawsuit-federal$15,000,000
Brut, LLCNasdaq Inc.investor protection violation2003SEC$45,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsinvestor protection violation2003SEC$450,000
Providian Financial Corp.JPMorgan Chasebenefit plan administrator violation2003private lawsuit-federal$8,600,000
Alliance Capital ManagementEquitable Holdingsinvestor protection violation2003NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $600,000,000
AllstateAllstateconsumer protection violation2003TX-AG$3,440,000
Allstate Insurance Co.Allstateprivacy violation2003PA-AG$10,000
American Express Co.American Expressconsumer protection violation2003NY-AG$3,285,000
Bankers Life and Casualty Co.CNO Financialprivacy violation2003KS-AG$15,000
Farmers Insurance GroupZurich Insuranceconsumer protection violation2003TX-AG$2,400,000
First Niagara BankKeyCorpconsumer protection violation2003NY-AG$33,500
H&R BlockH&R Blockconsumer protection violation2003MULTI-AG$3,300,000
United American Insurance Co.Globe Life Inc.consumer protection violation2003CT-AG$45,000
US Bank NAU.S. Bancorpconsumer protection violation2003NY-AG$33,500
USAA Federal Savings BankUSAAconsumer protection violation2003NY-AG$33,500
Wells Fargo Financial BankWells Fargoconsumer protection violation2003NY-AG$33,500
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003NY-MANDA$25,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003NY-MANDA$25,000,000
Wells Fargo Home Mortgage, Inc.Wells Fargoconsumer protection violation2003CA-SCCDA$25,000
Wells Fargo Financial Texas, Inc.Wells Fargoemployment discrimination2003EEOC$110,000
Edward D. Jones and Co.,LPJones Financialinvestor protection violation2003AK-DBS$11,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2003CA-INS$403,652
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2003CA-INS$250,000
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co.Tokio Marineinsurance violation2003CA-INS$42,500
Liberty Mutual Insurance GroupLiberty Mutual Insuranceinsurance violation2003CA-INS$215,000
American International Insurance Co. and AIG National Insurance Company, Inc.American International Groupinsurance violation2003FL-OFR$66,750
Travelers Indemnity Co.Travelersinsurance violation2003FL-OFR$8,000
Travelers Indemnity Company of IllinoisTravelersinsurance violation2003FL-OFR$20,500
Waddell & Reed, Inc.Macquarieinvestor protection violation2003FL-OFR$8,800
Ace American Insurance Co.Chubb Limitedinsurance violation2003FL-OFR$6,000
Illinois National Insurance Co.American International Groupinsurance violation2003FL-OFR$5,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2003FL-OFR$62,250
Kemper Auto and Home Insurance Co.Kemperinsurance violation2003FL-OFR$16,500
CitiFinancial, Inc.Citigroupconsumer protection violation2003FL-OFR$8,199
Alpha Property & Casualty Insurance Co.Kemperinsurance violation2003FL-OFR$32,500
The Equitable Life Assurance Society of the United StatesEquitable Holdingsinsurance violation2003FL-OFR$1,600,000
American Alternative Insurance Corp.Munich Reinsurance violation2003FL-OFR$21,500
Victoria Fire & Casualty Co.Nationwideinsurance violation2003IN-INS$5,000
Workmen's Auto Insurance CompanyMercury General Corporationinsurance violation2003IN-INS$8,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2003IN-INS$8,000
Allstate Insurance CompanyAllstateinsurance violation2003IN-INS$12,220
Protective Life Insurance CompanyDai-ichi Lifeinsurance violation2003MA-INS$30,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2003MA-INS$40,000
American Home Assurance CompanyAmerican International Groupinsurance violation2003MA-INS$12,500
Bankers Life & Casualty Co.CNO Financialinsurance violation2003ME-INS$5,000
Illinois Farmers Insurance Co.Zurich Insuranceinsurance violation2003MN-FIN$20,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
Illinois Farmers Insurance Co.Zurich Insuranceinsurance violation2003MN-FIN$10,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2003MN-FIN$5,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2003MN-FIN$10,000
Berthel Fisher & CompanyBerthel Fisherinvestor protection violation2003MN-FIN$10,000
Foremost Insurance Co.Zurich Insuranceinsurance violation2003MN-FIN$5,000
Monumental Life Insurance Co.Aegoninsurance violation2003MS-INS$24,351
Conseco Life Insurance Co.CNO Financialinsurance violation2003MS-INS$50,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003MT-SEC$2,625,000
Hartford Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2003MT-INS$30,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2003ND-SEC$7,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.