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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 TypeYearAgency sort iconPenalty Amount
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2017AR-SEC$13,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2018AR-SEC$50,000
LPL Financial LLCLPL Financialinvestor protection violation2019AR-SEC$40,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2019AR-SEC$5,000
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2021AR-SEC$50,000
Encompass Indemnity Co. and Encompass Insurance Company of AmericaAllstateinsurance violation2019AR-INS$40,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2017AR-INS$50,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2013AR-INS$10,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2013AR-INS$5,000
Western Sky Financial, CashCall Inc. and WS FundingCashCall Inc.consumer protection violation2016AR-AG$750,000
Prudential Equity Group, Inc.Prudential Financialinvestor protection violation2005AL-SEC$45,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2005AL-SEC$100,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2010AL-SEC$15,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2012AL-SEC$60,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2017AL-SEC$20,000
LPL Financial LLCLPL Financialinvestor protection violation2018AL-SEC$80,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AL-SEC$18,874
Regions BankRegions Financialbanking violation2014AL-SBD$5,000,000
GMAC Mortgage, LLCAlly Financialenvironmental violation2010AL-ENV$5,505
Principal Life Insurance Co.Principal Financialinsurance violation2002AK-INS$16,095
Aon Risk Services Inc. of WashingtonAoninsurance violation2002AK-INS$5,000
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2006AK-INS$6,530
Liberty Mutual GroupLiberty Mutual Insuranceinsurance violation2007AK-INS$32,500
Principal Life Insurance Co.Principal Financialinsurance violation2008AK-INS$25,000
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2009AK-INS$39,378
Brown & Brown of Washington, Inc.Brown & Browninsurance violation2012AK-INS$30,000
Marsh USA Inc.Marsh & McLennaninsurance violation2015AK-INS$25,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2016AK-INS$10,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2019AK-INS$20,000
Marsh USA Inc.Marsh & McLennaninsurance violation2019AK-INS$30,000
Affinity Insurance Services, Inc.Aoninsurance violation2021AK-INS$35,000
New Hampshire Insurance Co.American International Groupinsurance violation2022AK-INS$7,500
Marsh USA Inc.Marsh & McLennaninsurance violation2023AK-INS$55,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2023AK-INS$20,000
Edward D. Jones and Co.,LPJones Financialinvestor protection violation2003AK-DBS$11,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2010AK-DBS$129,131
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010AK-DBS$150,507
UBS Securities LLCUBSinvestor protection violation2010AK-DBS$733,465
UBS Financial Services, Inc.UBSinvestor protection violation2013AK-DBS$64,661
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013AK-DBS$44,370
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014AK-DBS$51,120
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2015AK-DBS$35,000
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2017AK-DBS$6,500
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2018AK-DBS$11,000
LPL Financial LLCLPL Financialinvestor protection violation2019AK-DBS$499,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2020AK-DBS$10,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AK-DBS$10,527
Bank of AmericaBank of AmericaFalse Claims Act and related2001AK-AG$35,600,000
MercerMarsh & McLennanaccounting fraud or deficiencies2010AK-AG$500,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2018private lawsuit-federal$3,000,000
Wells FargoWells Fargowage and hour violation2018private lawsuit-state$27,500,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2018private lawsuit-federal$8,333,333
BB&TTruist Financialwage and hour violation2018private lawsuit-federal$72,336
Wells FargoWells Fargowage and hour violation2017private lawsuit-state$13,000,000
ProgressiveProgressivewage and hour violation2017private lawsuit-federal$46,000
Prudential FinancialPrudential Financialwage and hour violation2017private lawsuit-federal$12,500,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$6,000,000
Wells Fargo AdvisorsWells Fargowage and hour violation2017private lawsuit-federal$3,500,000
U.S. BancorpU.S. Bancorpwage and hour violation2017private lawsuit-federal$7,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2017private lawsuit-federal$16,666,667
Ditech Financial LLCDitech Holding Corporationwage and hour violation2017private lawsuit-federal$1,383,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2017private lawsuit-federal$775,000
CitigroupCitigroupwage and hour violation2017private lawsuit-federal$1,080,000
Regions FinancialRegions Financialwage and hour violation2017private lawsuit-federal$620,634
Fifth Third BankFifth Third Bancorpwage and hour violation2017private lawsuit-federal$1,111,388
Wells FargoWells Fargowage and hour violation2017private lawsuit-federal$685,000
PNC BankPNC Financial Serviceswage and hour violation2017private lawsuit-federal$16,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2017private lawsuit-federal$5,707,279
U.S. BancorpU.S. Bancorpwage and hour violation2017private lawsuit-federal$1,150,000
Allstate InsuranceAllstatewage and hour violation2017private lawsuit-state$2,000,000
Wells FargoWells Fargowage and hour violation2017private lawsuit-federal$3,900,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$7,000,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$1,900,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2017private lawsuit-federal$4,900,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$6,600,000
CitigroupCitigroupwage and hour violation2017private lawsuit-federal$325,000
PNC Financial ServicesPNC Financial Serviceswage and hour violation2016private lawsuit-federal$6,000,000
Hartford Fire InsuranceHartford Financial Serviceswage and hour violation2016private lawsuit-federal$2,650,000
Merrill LynchBank of Americawage and hour violation2016private lawsuit-state$2,645,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-state$4,000,000
HSBCHSBCwage and hour violation2016private lawsuit-federal$6,982,000
BMO FinancialBank of Montrealwage and hour violation2016private lawsuit-federal$700,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$3,250,000
PNC BankPNC Financial Serviceswage and hour violation2016private lawsuit-federal$1,500,000
Morgan StanleyMorgan Stanleywage and hour violation2016private lawsuit-federal$5,995,000
AXA AdvisorsEquitable Holdingswage and hour violation2016private lawsuit-federal$2,300,000
Merrill LynchBank of Americawage and hour violation2016private lawsuit-federal$14,000,000
New York LifeNew York Life Insurancewage and hour violation2016private lawsuit-federal$94,818
JPMorgan ChaseJPMorgan Chasewage and hour violation2016private lawsuit-federal$950,000
Banco PopularPopular Inc.wage and hour violation2016private lawsuit-federal$50,243
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$36,000,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$2,250,000
Compass BankPNC Financial Serviceswage and hour violation2015private lawsuit-federal$500,000
CitigroupCitigroupwage and hour violation2015private lawsuit-federal$4,650,000
Wells Fargo Insurance ServicesWells Fargowage and hour violation2015private lawsuit-federal$2,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2015private lawsuit-federal$12,000,000
Capital OneCapital One Financialwage and hour violation2015private lawsuit-federal$3,000,000
Bank of AmericaBank of Americawage and hour violation2015private lawsuit-federal$9,000,000
TD BankToronto-Dominion Bankwage and hour violation2015private lawsuit-federal$9,900,000
MB FinancialFifth Third Bancorpwage and hour violation2015private lawsuit-federal$800,000
UBSUBSwage and hour violation2015private lawsuit-federal$1,312,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.