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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$2,200,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2004FINRA$5,000,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$5,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2004FINRA$5,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2004FINRA$250,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$250,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004FINRA$2,400,000
Charles Schwab & Co, Inc.Charles Schwab Corp.investor protection violation2004FINRA$60,869
Edward JonesJones Financialinvestor protection violation2004FINRA$25,181
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2004FINRA$109,527
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$38,312
Prudential Equity Group, LLCPrudential Financialinvestor protection violation2004FINRA$17,306
UBS Financial Services Inc.UBSinvestor protection violation2004FINRA$200,666
Wachovia Securities, LLC.Wells Fargoinvestor protection violation2004FINRA$39,486
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004FINRA$150,000
Stifel Nicolaus & CompanyStifel Financialinvestor protection violation2004FINRA$125,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2004FINRA$300,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2004FINRA$4,950,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$5,290,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2004FINRA$5,390,000
Ameritrade, Inc.Charles Schwab Corp.investor protection violation2004FINRA$10,000,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2004FINRA$250,000
State Street Research Investment Services, Inc.BlackRockinvestor protection violation2004FINRA$1,500,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2004FINRA$280,469
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2004FINRA$36,971
Credit Suisse First Boston LLCCredit Suisseinvestor protection violation2004FINRA$770,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLCPrudential Financialinvestor protection violation2004FINRA$11,500,000
Fannie MaeFannie Maecampaign finance violation2004FEC$10,000
Cleco PowerMacquarieutility administrative violation2004LA-PSC$18,000,000
Mastercard International Inc.MasterCardprice-fixing or anti-competitive practices2004private lawsuit-federal$1,025,000,000
Visa USAVisaprice-fixing or anti-competitive practices2004private lawsuit-federal$2,025,000,000
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2004OSHA$5,000
WELLS FARGO SECURITIES, LLC.Wells Fargoworkplace safety or health violation2004OSHA$5,000
IFCO SYSTEMS NORTH AMERICATriton Investments Advisersworkplace safety or health violation2004OSHA$5,250
SYNAGRO TECHNOLOGIES, INC.Goldman Sachsworkplace safety or health violation2004OSHA$5,725
KEYBANK NATIONAL ASSOCIATIONKeyCorpworkplace safety or health violation2004OSHA$28,000
A.G. Edwards & Sons, Inc.Wells Fargodata submission deficiencies2003CFTC$45,000
Cleco CorporationMacquarieenergy market violation2003FERC$2,850,000
El Paso Electric CorporationJPMorgan Chaseenergy market violation2003FERC$15,500,000
Crawford Healthcare Management of Norfolk & BaltimoreCrawford & Co.fraud2003DOJ_CRIMINAL$8,000,000
PNC ICLC Corp.PNC Financial Servicesaccounting fraud or deficiencies2003DOJ_CRIMINAL$115,000,000
Bank of AmericaBank of Americaeconomic sanction violation2003OFAC$158,038
Bank of New YorkBank of New York Melloneconomic sanction violation2003OFAC$24,750
Barclays Bank PLCBarclayseconomic sanction violation2003OFAC$10,107
Credit Lyonnais, NYCredit Agricoleeconomic sanction violation2003OFAC$5,500
Deutsche Bank A.G.Deutsche Bankeconomic sanction violation2003OFAC$5,500
Guy Carpenter & Company, IncMarsh & McLennaneconomic sanction violation2003OFAC$50,000
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$11,000
National City BankPNC Financial Serviceseconomic sanction violation2003OFAC$5,500
Northern Trust, IBCNorthern Trusteconomic sanction violation2003OFAC$18,027
Societe GeneraleSociete Generaleeconomic sanction violation2003OFAC$6,600
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 CorporationToronto-Dominion Bankinvestor 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
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.