Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon .
ICAP Capital Markets LLCCME Groupprice-fixing or anti-competitive practices2018CFTC$50,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2006SEC$50,000,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2009MN-AG$50,000,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CA-AG$50,000,000
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2005NY-AG$50,000,000
Wells FargoWells Fargoconsumer protection violation2016CA-LACA$50,000,000
Royal Bank of ScotlandNatWest Group PLCeconomic sanction violation2013NY-DFS$50,000,000
MetLifeMetLifeinsurance violation2014NY-DFS$50,000,000
Goldman SachsGoldman Sachsinvestor protection violation2015NY-DFS$50,000,000
Bank of AmericaBank of Americainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Wachovia Securities LLCWells Fargoinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$50,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Credit Suisse First Boston CorporationCredit Suisseinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Equitable Financial Life Insurance CompanyEquitable Holdingsinvestor protection violation2022SEC$50,000,000
Fifth Third BankFifth Third Bancorpprivacy violation2022private lawsuit-federal$50,000,000
Nomura SecuritiesNomurainvestor protection violation2022CFTC$50,000,000
Nomura Securities International, Inc.Nomurainvestor protection violation2022SEC$50,000,000
Washington Mutual Inc.JPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$49,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2016OCC$48,000,000
Credit Suisse (Hong Kong) LimitedCredit SuisseForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
Nelnet Inc.NelnetFalse Claims Act and related2010DOJ_CIVIL$47,000,000
Household InternationalHSBCbenefit plan administrator violation2004private lawsuit-federal$46,500,000
Regions BankRegions Financialbanking violation2014FED$46,000,000
American International Group, Inc.American International Groupinvestor protection violation2004SEC$46,000,000
Morgan StanleyMorgan Stanleyemployment discrimination2007private lawsuit-federal$46,000,000
Spear, Leeds & Kellogg Specialists LLCGoldman Sachsinvestor protection violation2004SEC$45,272,478
CitibankCitigroupconsumer protection violation2016CFPB$45,000,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2000SEC$45,000,000
UBSUBSwage and hour violation2007private lawsuit-federal$45,000,000
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $45,000,000
Merrill Lynch & Co.Bank of Americainvestor protection violation2013NJ-AG$45,000,000
PHH Mortgage Corp.Ocwen Financialmortgage abuses2018MULTI-AG$45,000,000
Fireman's Fund Insurance CompanyAllianzFalse Claims Act and related2015DOJ_CIVIL$44,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2017USAO$44,000,000
UBSUBSwage and hour violation2007private lawsuit-federal$44,000,000
ConvergEx Group LLCCowen Inc.fraud2014DOJ_CRIMINAL$43,800,000
Merrill LynchBank of Americawage and hour violation2010private lawsuit-federal$43,500,000
National City Corp.PNC Financial Servicesbenefit plan administrator violation2010private lawsuit-federal$43,000,000
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2021SEC$43,000,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2019SEC$42,700,000
Morgan StanleyMorgan Stanleywage and hour violation2006private lawsuit-federal$42,500,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2011private lawsuit-federal$42,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2018SEC$42,000,000
Bank of America Merrill LynchBank of Americainvestor protection violation2018NY-AG$42,000,000
RBS Financial ProductsNatWest Group PLCtoxic securities abuses2012NV-AG$42,000,000
Western Sky Financial, LLC, CashCall, Inc.CashCall Inc.consumer protection violation2017GA-AG$42,000,000
Mercury Insurance Co. and Mercury Casualty Co. and California Automobile Insurance Co.Mercury General Corporationinsurance violation2019CA-INS$41,188,505
Countrywide Financial CorporationBank of Americamortgage abuses2009WI-AG$41,100,000
ABN AMRO Mortgage GroupABN AMROmortgage abuses2006HUD$41,000,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017FED$41,000,000
State Farm Mutual Insurance CompanyState Farm Insuranceconsumer protection violation2005MULTI-AG$41,000,000
ABN AMRO Bank, N.V.ABN AMROeconomic sanction violation2006OFAC$40,000,000
Evergreen Investment Management Company LLCWells Fargoinvestor protection violation2009SEC$40,000,000
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007SEC$40,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2005SEC$40,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2005SEC$40,000,000
AmSouth BancorporationRegions Financialfraud2004USAO$40,000,000
American International Group, Inc.American International Groupbenefit plan administrator violation2015private lawsuit-federal$40,000,000
MetLifeMetLifeinsurance violation2012MULTI-AG$40,000,000
Nationwide InsuranceNationwideconsumer protection violation2008MS-AG$40,000,000
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $40,000,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2019NY-DFS$40,000,000
Nationstar Mortgage, LLCMr. Cooper Groupmortgage abuses2020DOJ_UTP$40,000,000
VALIC Financial Advisors Inc.American International Groupinvestor protection violation2020SEC$39,900,000
Prudential InsurancePrudential Financialbenefit plan administrator violation2014private lawsuit-federal$39,100,000
Wachovia SecuritiesWells Fargowage and hour violation2009private lawsuit-federal$39,000,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2012MULTI-FIN$39,000,000
Citibank N.A.Citigroupinvestor protection violation2018SEC$38,700,000
Academy Mortgage CorporationAcademy Mortgage Corp.False Claims Act and related2022DOJ_CIVIL$38,500,000
Merrill LynchBank of Americaemployment discrimination2013private lawsuit-federal$38,225,000
The Bank of New YorkBank of New York Mellonanti-money-laundering deficiencies2005USAO$38,000,000
Washington Mutual BankJPMorgan Chasewage and hour violation2009private lawsuit-federal$38,000,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealinvestor protection violation2019SEC$37,980,000
Flagstar BankNew York Community Bancorpconsumer protection violation2014CFPB$37,500,000
TD Bank, National AssociationToronto-Dominion Bankbanking violation2013OCC$37,500,000
Northern TrustNorthern Trustbenefit plan administrator violation2006private lawsuit-federal$37,500,000
Zurich American Insurance Company et al.Zurich InsuranceFalse Claims Act and related2010NY-AG$37,500,000
U.S. BankU.S. Bancorpbanking violation2022CFPB$37,500,000
Bank Hapoalim B.M,Bank Hapoalimtax violations2020FED$37,350,000
UniCredit S.p.A.UniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,316,322
EverbankTIAAbanking violation2013OCC$37,000,000
Wachovia CorporationWells Fargoinvestor protection violation2004SEC$37,000,000
Merrill LynchBank of Americawage and hour violation2006private lawsuit-federal$37,000,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2016NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,000,000
Monumental Life Insurance CompanyAegoninsurance violation2003MULTI-FIN$37,000,000
Goldman Sachs GroupGoldman Sachsbanking violation2016FED$36,300,000
Barclays Bank PLCBarclaystoxic securities abuses2013MA-AG$36,100,000
Banc of America Securities LLCBank of Americaprice-fixing or anti-competitive practices2010SEC$36,096,442
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$36,000,000
Northern Trust Investments, N.A.Northern Trustbenefit plan administrator violation2015private lawsuit-federal$36,000,000
Bank of AmericaBank of AmericaFalse Claims Act and related2001AK-AG$35,600,000
Wells Fargo AdvisorsWells Fargoemployment discrimination2017private lawsuit-federal$35,500,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2017SEC$35,300,000
Banca IMI Securities Corp.Intesa Sanpaoloinvestor protection violation2017SEC$35,300,000
National City Bank and its successor PNC BankPNC Financial Servicesbanking violation2013CFPB$35,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2016OCC$35,000,000
Citibank, N.A.Citigroupbanking violation2015OCC$35,000,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2012OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2011OCC$35,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$35,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.