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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $385,467,775,190
Number of Records: 7,525
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$87,248,751,230324
JPMorgan Chase$39,322,669,157272
UBS$31,059,299,125178
Wells Fargo$27,517,928,133261
Citigroup$26,945,611,792181
Deutsche Bank$20,006,467,56398
Goldman Sachs$17,729,327,552109
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,542,431,900198
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 icon . Current ParentPrimary Offense TypeYearAgencyPenalty Amount
AMEX Assurance CompanyAmerican Expressinsurance violation2009OR-FIN$25,000
Amex Assurance Co.American Expressinsurance violation2006CA-INS$170,000
Amex Assurance Co.American Expressinsurance violation2005FL-OFR$12,500
Amex Assurance Co.American Expressinsurance violation2008FL-OFR$8,000
AMEX Assurance Co.American Expressinsurance violation2011MD-INS$10,000
AMEX ASSURANCE CO.American Expressinsurance violation2007VA-INS$26,400
Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009DE-SEC$40,000
Ameritrade, Inc.Charles Schwab Corp.investor protection violation2004FINRA$10,000,000
Ameritrade Inc.Charles Schwab Corp.investor protection violation2007TX-SEC$200,000
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2015NY-DFS$72,975
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2020NY-DFS$84,668
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2019CT-INS$5,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2015NJ-DBI$2,524,290
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2006OR-FIN$5,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2020TN-INS$30,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2022WA-INS$40,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companywage and hour violation2017WHD$9,019
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2001VA-INS$9,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2017WA-INS$10,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2019WA-INS$50,000
Ameritas Life Insurance CompanyAmeritas Mutual Holding Companyinsurance violation2022CT-INS$31,500
Ameritas Investment CorporationAmeritas Mutual Holding Companyinvestor protection violation2003TX-SEC$25,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015SEC$200,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2019SEC$3,389,174
Ameritas Investment Corp.Ameritas Mutual Holding Companyinsurance violation2019CA-INS$15,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2014IA-INS$10,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2008NE-DBF$11,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015FINRA$278,544
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2009FINRA$100,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2021SD-SEC$20,000
Ameritas Investment Company LLCAmeritas Mutual Holding Companyinvestor protection violation2020PA-BKG$100,000
Ameritas Investment Co.Ameritas Mutual Holding Companyinvestor protection violation2022NV-SEC$15,000
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyinvestor protection violation2022SEC$4,628,194
Amerisave Mortgage Corporation and Novo Appraisal Management CompanyAmeriSave Mortgageconsumer protection violation2014CFPB$19,300,000
Amerisave Mortgage CorporationAmeriSave Mortgageconsumer protection violation2009PA-BKG$50,000
Amerisave Mortgage CorporationAmeriSave Mortgageinvestor protection violation2013MULTI-FIN$2,300,000
AmeriSave Mortgage CorporationAmeriSave Mortgageprivacy violation2020private lawsuit-federal$6,250,000
Amerisave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2017CA-DFPI$50,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2009KY-FIN$18,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2019KY-FIN$5,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2010MA-BKG$25,000
Ameriquest MortgageCitigroupconsumer protection violation2006MULTI-AG$325,000,000
Ameriprise GroupAmeriprise Financialinsurance violation2017MULTI-AG$1,500,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$30,000,000
Ameriprise Financial, Inc.Ameriprise Financialemployment discrimination2016OFCCP$128,200
Ameriprise Financial, Inc.Ameriprise Financialbenefit plan administrator violation2015private lawsuit-federal$27,500,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009SEC$17,300,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2017SEC$8,750,000
Ameriprise Financial Services, Inc.Ameriprise Financialconsumer protection violation2009MA-AG$200,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018NJ-AG$375,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005AZ-CC$1,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2006AZ-CC$1,250,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018CA-DFPI$115,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008IL-SEC$1,449,384
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009KY-FIN$983,984
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MA-SEC$400,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MD-SEC$50,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008MS-SEC$150,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008NH-BSR$3,400,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2014NH-BSR$90,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016NH-BSR$30,800
AMERIPRISE FINANCIAL SERVICES, INC.Ameriprise Financialinvestor protection violation2016VA-SEC$14,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016WA-FIN$55,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016FINRA$850,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013FINRA$750,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$12,300,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$1,250,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SEC$4,500,000
Ameriprise Financial Services Inc.Ameriprise Financialconsumer protection violation2013NE-DBF$10,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SC-SEC$650,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2009MULTI-FIN$720,000
Ameriprise Financial ServicesAmeriprise Financialinvestor protection violation2018SEC$230,000
AMERIPRISE FINANCIAL SERVICESAmeriprise Financialinvestor protection violation2008VA-SEC$780,000
Ameriprise FinancialAmeriprise Financialwage and hour violation2011private lawsuit-federal$185,000
Ameriprise Advisor Services Inc.Ameriprise Financialinvestor protection violation2009RI-FIN$48,411
American-Amicable Life Insurance CompanyAmerican-Amicable Groupinsurance violation2006MULTI-FIN$60,000,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2003MA-INS$40,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2010TX-INS$32,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2011TX-INS$9,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2012TX-INS$27,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$16,514
American Zurich Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$15,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$9,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$7,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$5,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$13,571
American Zurich Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$6,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$9,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$53,750
American Zurich Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$18,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$45,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$17,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$6,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$14,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$72,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$22,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$12,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$21,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-FIN$27,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.