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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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CompanyCurrent ParentPrimary Offense Type sort iconYearAgencyPenalty Amount
TD Bank, N.A.Toronto-Dominion Bankprivacy violation2014MULTI-AG$850,000
US BankU.S. Bancorpprivacy violation2000MULTI-AG$2,000,000
Wells Fargo BankWells Fargoprivacy violation2016CA-AG$8,500,000
Merrill LynchBank of Americaprivacy violation2014NH-BSR$400,000
American General Financial Services Inc.OneMain Holdingsprivacy violation2010OR-FIN$75,000
Ocwen Loan Servicing LLCOcwen Financialprivacy violation2015VT-FIN$155,000
AmeriSave Mortgage CorporationAmeriSave Mortgageprivacy violation2020private lawsuit-federal$6,250,000
U.S. BankU.S. Bancorpprivacy violation2019private lawsuit-federal$2,670,336
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2017private lawsuit-federal$30,446,022
Capital OneCapital One Financialprivacy violation2015private lawsuit-federal$73,000,000
Bank of America CorporationBank of Americaprivacy violation2014private lawsuit-federal$32,083,905
Countrywide Financial Corp.Bank of Americaprivacy violation2010private lawsuit-federal$6,500,000
First Unum Life Insurance Company of America and Paul Revere Life Insurance CompanyUnumprivacy violation2021NY-DFS$1,800,000
First American Financial CorporationFirst American Financialprivacy violation2021SEC$487,616
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2021private lawsuit-federal$28,000,000
Kemper Corp.Kemperprivacy violation2022private lawsuit-federal$17,100,000
Ocwen Loan Servicing, LLCOcwen Financialprivacy violation2022private lawsuit-federal$1,500,000
Fifth Third BankFifth Third Bancorpprivacy violation2022private lawsuit-federal$50,000,000
Capital One BankCapital One Financialprivacy violation2022private lawsuit-federal$95,000,000
Allstate InsuranceAllstateprivacy violation2022private lawsuit-federal$4,500,000
Robinhood Financial LLCRobinhood Marketsprivacy violation2023private lawsuit-federal$20,000,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americaprivacy violation2023NH-BSR$700,000
OneMain Financial Group LLCOneMain Holdingsprivacy violation2023NY-DFS$4,250,000
Morgan Stanley Smith Barney LLCMorgan Stanleyprivacy violation2023MULTI-AG$6,500,000
First American Title Insurance CompanyFirst American Financialprivacy violation2023NY-DFS$1,000,000
LendingTree LLCLendingTreeprivacy violation2024private lawsuit-federal$875,000
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2014FRA$5,250
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2012FRA$5,000
East Penn Railroad3i Infrastructure PLCrailroad safety violation2010FRA$6,200
Florida Central Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,800
Indiana Eastern Railroad3i Infrastructure PLCrailroad safety violation2013FRA$5,300
Middletown & New Jersey Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,000
Buckeye PartnersIFM Investorsrailroad safety violation2011FRA$7,500
Buckeye PartnersIFM Investorsrailroad safety violation2014FRA$50,000
Noble Americas Corp.Vitolrailroad safety violation2012FRA$15,000
Nyrstar Clarksville, Inc.Trafigurarailroad safety violation2010FRA$5,000
Peter Cremer CompanyCremerrailroad safety violation2011FRA$5,000
Peter Cremer CompanyCremerrailroad safety violation2013FRA$8,000
Xstrata CopperGlencorerailroad safety violation2011FRA$7,500
Xstrata CopperGlencorerailroad safety violation2012FRA$12,000
NYRSTAR CLARKSVILLE, INC.Trafigurarailroad safety violation2009FRA$10,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2016FRA$6,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2017FRA$8,250
Buckeye PartnersIFM Investorsrailroad safety violation2017FRA$10,000
East Penn Railroad LLC3i Infrastructure PLCrailroad safety violation2017FRA$5,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$7,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$6,250
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$10,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$5,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2018FRA$6,000
Noble Americas CorporationVitolrailroad safety violation2017FRA$6,500
Buckeye Terminals LLC-MacungieIFM Investorsrailroad safety violation2019FRA$5,000
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,000
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,853
Buckeye Terminals LLC-MacungieIFM Investorsrailroad safety violation2019FRA$5,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americasecurities issuance or trading violation2018FINRA$5,990,530
JPMorgan ChaseJPMorgan Chasesexual exploitation of minors2023private lawsuit-federal$290,000,000
Deutsche Bank AGDeutsche Banktax violations2010USAO$553,633,153
Bank Julius Baer & Co. Ltd.Julius Baer Grouptax violations2016DOJ_TAX$547,000,000
Union Bancaire PriveeUnion Bancaire Priveetax violations2016DOJ_TAX$187,000,000
Coutts & Co LtdNatWest Group PLCtax violations2015DOJ_TAX$78,484,000
Credit Agricole (Suisse) SACredit Agricoletax violations2015DOJ_TAX$99,211,000
Deutsche Bank (Suisse) SADeutsche Banktax violations2015DOJ_TAX$31,026,000
BNP Paribas (Suisse) SABNP Paribastax violations2015DOJ_TAX$59,783,000
Standard Chartered Bank (Switzerland) SA, en liquidationStandard Charteredtax violations2015DOJ_TAX$6,337,000
BBVA Suiza S.A.Banco Bilbao Vizcaya Argentariatax violations2015DOJ_TAX$10,390,000
Societe Generale Private Banking (Suisse) SASociete Generaletax violations2015DOJ_TAX$17,807,000
Societe Generale Private Banking (Lugano-Svizzera)Societe Generaletax violations2015DOJ_TAX$1,363,000
Bank Leumi GroupBank Leumitax violations2014DOJ_TAX$270,000,000
Credit Suisse AGUBStax violations2014DOJ_TAX$1,800,000,000
UBS AGUBStax violations2009DOJ_TAX$780,000,000
UBS AGUBStax violations2009SEC$200,000,000
Louis Dreyfus Commodities Grand Junction LLCLouis Dreyfustax violations2017ATTTB$14,000
Deutsche BankDeutsche Banktax violations2017USAO$95,000,000
Zurich Life Insurance Company LtdZurich Insurancetax violations2019DOJ_TAX$5,115,000
American Express Centurion BankAmerican Expresstax violations2012CT-AG$14,970
American International Group, Inc.American International Grouptax violations2006MI-AG$5,279,484
Brown & Brown Insurance of Arizona, Inc.Brown & Browntax violations2014CT-AG$37,650
John Hancock Assignment Co.Manulife Financialtax violations2014CT-AG$38,910
Pacific Resources Benefits Advisors, LLCBrown & Browntax violations2014CT-AG$5,400
Pioneer Credit Recovery, Inc.Navienttax violations2013CT-AG$12,255
HSBC Private Bank (Suisse) SAHSBCtax violations2019USAO$192,350,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveetax violations2020DOJ_TAX$14,000,000
Coutts & Co Ltd.NatWest Group PLCtax violations2019DOJ_TAX$27,900,000
Bank Hapoalim B.M,Bank Hapoalimtax violations2020FED$37,350,000
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd.Bank Hapoalimtax violations2020DOJ_TAX$616,910,000
Credit Suisse AGUBStax violations2014NY-DFS$715,000,000
Bank LeumiBank Leumitax violations2014NY-DFS$130,000,000
Bank Hapoalim B.M.Bank Hapoalimtax violations2020NY-DFS$220,000,000
Swiss Life Holding AG et al.Swiss Life Grouptax violations2021DOJ_TAX$77,374,337
Farmers Insurance Exchange, Truck Insurance Exchange and Fire Insurance ExchangeFarmers Insurance Exchangetelecommunications violation2015MO-AG$575,000
Morgan Stanley & Co. LLCMorgan Stanleytoxic securities abuses2016FDIC$62,950,000
Goldman SachsGoldman Sachstoxic securities abuses2016DOJ$5,060,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016DOJ$2,600,000,000
Citigroup Inc.Citigrouptoxic securities abuses2014DOJ$7,000,000,000
JPMorgan ChaseJPMorgan Chasetoxic securities abuses2013DOJ$13,000,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2014SEC$275,000,000
Merrill LynchBank of Americatoxic securities abuses2013SEC$131,800,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2013SEC$153,700,000
UBS SecuritiesUBStoxic securities abuses2013SEC$50,000,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2012SEC$296,900,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.